• Update on the Hong Kong Securities and Futures Commission’s Front-loaded Regulatory Approach
• Hong Kong Securities and Futures Commission Reprimands and Fines BMI Securities Limited HK$3.7 million and Suspends its Responsible Officer for Breaches of Anti-money Laundering Regulatory Requirements
• Hong Kong Securities and Futures Commission Reprimands and Fines Capital Global Management Limited HK$1.5 million
• Hong Kong Court of First Instance Dismisses Challenge to Hong Kong Securities and Futures Commission’s Investigative Powers
• The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of Nickel Resources International Holdings Company Limited (Incorporated in the Cayman Islands with limited liability) (Stock Code: 2889)
• U.S. Securities and Exchange Commission Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians
• U.S. Securities and Exchange Commission Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data
• U.S. Securities and Exchange Commission Charges Real Estate Company and Executives with Defrauding Retail Investors, Obtains Emergency Relief
• U.S. Securities and Exchange Commission Charges Global Alcohol Producer with Disclosure Failures
• Initial Coin Offering Issuer Settles U.S. Securities and Exchange Commission Registration Charges, Agrees to Return Funds and Register Tokens as Securities
• Shenzhen Stock Exchange Accelerates the Approval for the Bond Issue Applications of Hubei Enterprises under Emergency – the First Innovative Corporate Bond Supporting Anti-Epidemic Given the Green Light to Issue
• Shenzhen Stock Exchange Upgrades Its Distance Training to Meet What the Market Needs
• Shanghai Stock Exchange Builds Financial Defense Line to Combat Coronavirus Outbreak
• Hong Kong Monetary Authority Convenes Special Teleconference of the Banking Sector SME Lending Coordination Mechanism to Discuss Ways for Banking Industry to Assist Small and Medium-sized Enterprises (SMEs) in Overcoming the Impact of Coronavirus Outbreak
• Hong Kong Monetary Authority Issues a Tentative Issuance Schedule for Exchange Fund Bills and Notes for the Coming Quarter of April to June 2020
• Hong Kong Insurance Authority Continues to Provide Limited Public Services in View of the Latest Development Related to the Novel Coronavirus
• Financial Conduct Authority of the United Kingdom Publishes Annual Sector Views Assessing the Risks and Potential Harm to Consumers in Financial Services Markets and Highlights its Areas of Concern
• Australian Securities and Investments Commission Starts a Four-week Consultation on Draft Guidance about the New Best Interests Duty to Help Promote Certainty of New Obligations for Mortgage Brokers
• The Monetary Authority of Singapore Welcomes Measures by Financial Institutions to Support Customers Facing the Impact of COVID-19

PDF Version

• Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Limited Issue Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent
• The Stock Exchange of Hong Kong Limited Publishes Results of Latest Review of Issuers’ Annual Report Disclosure
• Shenzhen Stock Exchange Issues Notice on Supporting Listed Companies and Other Market Entities to Combat Novel Coronavirus-caused Pneumonia
• Hong Kong Securities and Futures Commission to Commence Proceedings for Suspected Market Manipulation in the Shares of China Ding Yi Feng and Lifts Trading Suspension
• Hong Kong Securities and Futures Commission Issues Restriction Notice to a Broker to Freeze Client Accounts Linked to Suspected Market Manipulation
• The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Corporate WVR Beneficiaries
• U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices
• U.S. Securities and Exchange Commission Proposes Amendments to Modernize and Enhance Financial Disclosures
• Hong Kong Securities and Futures Commission Highlights Importance of Risk Management
• China’s Foreign Investment Law and Implementing Regulations Come into Effect on January 1, 2020
• Hong Kong Securities and Futures Commission Suspends Shiu Yau Wah for Five Months
• Hong Kong Securities and Futures Commission Bans Christopher Tse for 12 Months
• The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of China Animal Healthcare Ltd. (Stock code: 940)
• The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of Midas Holdings Limited (in Liquidation in Singapore) (Stock code: 1021)
• The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of Ding He Mining Holdings Limited (in liquidation) (Stock code: 705)
• Overview of Shenzhen Stock Exchange’s M&A and Reorganization and Regulation Services in 2019
• The First Government Bonds in Guangdong Province in 2020 Successfully Issued on Shenzhen Stock Exchange
• Overview of the Refinancing Market of Shenzhen Stock Exchange in 2019
• Overview of Equity Incentive Plans and Employee Stock Ownership Plans of SZSE-listed Companies in 2019
• Shanghai Stock Exchange Reports on Dealing with SSE-listed Companies’ Violations in Information Disclosure in 2019
• China’s Ministry of Science and Technology and Shanghai Stock Exchange Sign MOU on Deepening FinTech Integration
• The Financial Conduct Authority of the United Kingdom Introduces New Overdraft Rules which Mean 7 out of 10 People will be Better off or See No Change

PDF Version

• Hong Kong Securities and Futures Commission Provides Licensing Guidance for Private Equity Firms and Family Offices
• OTC Clearing Hong Kong Limited Obtains License From Financial Services Agency of Japan
• Hong Kong Securities and Futures Commission Lifts Suspension of UBS Securities Hong Kong Limited Acting as Sponsor
• U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
• Shenzhen Stock Exchange Holds the “Media Visiting SZSE” Exchange Meeting on Regulation of Listed Companies
• China Securities Depository and Clearing Corporation Limited and Shenzhen Stock Exchange Jointly Issues the Implementation Rules for H-shares “Full Circulation” Business
• Shenzhen Stock Exchange Issues the CNI Dhaka Selected Index to Promote the Deepening Cooperation Between China-Bangladesh Capital Markets
• Shenzhen Stock Exchange Issues the CNI Nanshan 50 Index
• Summary of Disciplinary Actions of Shenzhen Stock Exchange in 2019
• Shenzhen Stock Exchange Holds the 2019 Bond Market Regulation Symposium
• Shenzhen Stock Exchange Holds the Symposium on ETF Market Development in 2020
• New Market Surveillance System of Shanghai Stock Exchange Put into Use
• Financial Conduct Authority of the United Kingdom Proposes to Reform the Easy Access Cash Savings Market to Help Customers Get Better Rates for Cash Savings
• Australian Securities and Investments Commission Encourages Fair and Effective Insurance Claims Handling for People Affected by the Bushfires – Warns against Unscrupulous “Service Providers”

PDF Version

• Hong Kong Securities and Futures Commission Proposes Changes to the Open-ended Fund Companies Regime
• Launch of Investor Identification for Southbound Trading under Stock Connect
• Hong Kong Securities and Futures Commission Reprimands and Fines Adamas Asset Management (HK) Limited HK$2.5 Million
• Hong Kong Securities and Futures Commission Reprimands and Fines FIL Investment Management (Hong Kong) Limited HK$3.5 Million for Regulatory Breaches
• Hong Kong Securities and Futures Commission Publicly Censures CLSA Limited, CITIC Securities Brokerage (HK) Limited, Beijing Enterprises Holdings Limited and Their Representatives for Breaching the Code on Share Buy-backs
• The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Ding He Mining Holdings Limited (Stock Code 705) and a Number of Its Current Directors for Breaching the Listing Rules and/or the Director’s Undertaking
• The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Mr. Hu Guo An, Former Executive Director of Future Bright Mining Holdings Limited (Stock Code: 2212), for Breaching the Listing Rules and the Director’s Undertaking
• Hong Kong Monetary Authority Issues Report on Artificial Intelligence (AI) Application in Banking
• Hong Kong Monetary Authority Completes Designation of Domestic Systemically Important Authorized Institutions
• International Monetary Fund Acknowledges Hong Kong’s Robust Policy Frameworks and Ample Buffers for Addressing Economic Challenges and Safeguarding Financial Stability
• U.S. Securities and Exchange Commission Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules
• Xinjiang Production and Construction Corps Bond Debuts on the Exchange Market of Shenzhen Stock Exchange
• CSI 300 ETF Option Successfully Listed on Shenzhen Stock Exchange
• Shenzhen Stock Exchange and the Ministry of Industry and Information Technology Sign the Strategic Cooperation Agreement on the Listing Cultivation of High-quality Small and Medium-sized Enterprises
• Australian Securities and Investments Commission Comments on Environmental Group’s Amendments of its Acquisition Accounting, Emphasizing on the Quality of Financial Reporting

PDF Version

• China Greenlights Majority Shares for Foreign Firms in Insurance Joint Ventures
• The Stock Exchange of Hong Kong Limited Seeks Views on Review of Listing Regime for Debt Issues to Professional Investors Only
• Hong Kong Privacy Commissioner for Personal Data Publishes Investigation Report on TransUnion Limited Data Breach Incident
• Hong Kong Monetary Authority Issues Circular on Managing ML/TF Risks Associated with Virtual Assets and Virtual Asset Service Providers
• Australian Securities and Investments Commission Consults on Guidance for the New Product Design and Distribution Obligations
• Australian Securities and Investments Commission Bans Unfair Cold Call Sales of Direct Life Insurance and Consumer Credit Insurance
• Australian Securities and Investments Commission Updates Responsible Lending Guidance
• Abu Dhabi Global Market Publishes Public Consultation on Proposed Amendments to a Various ADGM Commercial Legislation
• China Further Improves Environment for Foreign Investment
• Eurex Exchange Enhances European ETF Ecosystem with New Product
• United Kingdom Financial Regulators Publish Consultation Papers on Building Operational Resilience
• Hong Kong Exchanges and Clearing Limited to Enhance Pre-opening Session and Volatility Control Mechanism in its Securities Market
• HKMC Insurance Limited Introduces SME Financing Guarantee Scheme – 90% Guarantee Product
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Cancellation of Listing of China Huishan Dairy Holdings Company Limited
• The Stock Exchange of Hong Kong Limited Publishes ESG Guide Consultation Conclusions and its ESG Disclosure Review Findings
• The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Artini Holdings Limited for Breaching the Listing Rules
• U.S. Securities and Exchange Commission Charges Ericsson with Foreign Corrupt Practices Act Violations
• MetLife Inc. Pays US$10 Million to Settle U.S. Securities and Exchange Commission’s Charges for Longstanding Internal Control Failures
• Hong Kong Securities and Futures Commission Bans W. Falcon Asset Management (Asia) Limited’s Former Chairman for Life and Ex-CFO for Three Years
• Hong Kong Securities and Futures Commission Releases the Findings of its Survey on Environmental, Social and Governance, Climate Change and Asset Management
• Hong Kong Securities and Futures Commission Concludes Consultation on Margin Requirements for Non-centrally Cleared OTC Derivatives
• Shenzhen Stock Exchange Issues Business Rules and Guidelines Regarding Stock Options

PDF Version

• China Offers All Investors Greater Business Access
• Hong Kong Securities and Futures Commission Issues Circular in Relation to the Clearing and Record Keeping Rules for the OTC Derivatives Regime – Changes to the List of Persons Designated as Financial Services Providers
• Singapore Exchange Regulation Proposes to Remove Minimum Trading Price Rule
• Hong Kong Exchanges and Clearing Limited Signs Memorandum of Understanding with Shanghai Shipping Exchange
• U.S. Securities and Exchange Commission Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies
• U.S. Commodity Futures Trading Commission Orders Goldman Sachs & Co. LLC to Pay US$1 Million for Recordkeeping Violations
• Financial Conduct Authority of the United Kingdom Bans Promotion of Speculative Mini-bonds to Retail Consumers
• Australian Securities and Investments Commission Reports on Compliance with Financial Advice Fee Disclosure Obligations
• Shanghai Stock Exchange Issues Notice of Publicly Soliciting Opinions on “SSE Implementation Measures on Shanghai-Hong Kong Stock Connect Business (2nd Amendment in 2019, Draft for Comment)”
• Dubai Financial Services Authority Issues Consultation Paper for SME Listings
• Ontario Securities Commission of Canada Makes Doing Business Easier for Ontario Market Participants
• Cyprus Securities and Exchange Commission Consults on the Introduction of Investment-based Crowdfunding Rules
• Swiss Financial Market Supervisory Authority Adopts New Approaches on Value Adjustments for Default Risks
• The GEM Listing Committee of Stock Exchange of Hong Kong Limited Criticizes Mr. Guo Xia William, Executive Director and Chairman of China Health Group Inc. for Breaching the GEM Listing Rules and the Director’s Undertaking
• The First A-share Private Placement Convertible Bond Successfully Issues on Shenzhen Stock Exchange
• Shanghai Stock Exchange Releases Notice of “SSE Rules for Reviewing Significant Asset Reorganization of Listed Companies on SSE STAR Market”

PDF Version

• Highlights of Speech by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities & Futures Commission at Hong Kong Conference 2019: IPO Sponsors and Regulations
• The Stock Exchange of Hong Kong Limited Announces the Effective Date of Unwinding the Delegated Authority to Approve GEM Listing Applications and Publishes Related Changes to GEM Listing Rules
• People’s Bank of China and State Administration of Foreign Exchange Further Facilitate Investment by Overseas Institutional Investors in the Interbank Bond Market
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Changgang Dunxin Enterprise Company Limited Cancellation of Listing
• U.S. Securities and Exchange Commission Halts Alleged US$1.7 Billion Unregistered Digital Token Offering
• U.S. Securities and Exchange Commission Charges 18 Traders in US$31 Million Stock Manipulation Scheme
• U.S. Securities and Exchange Commission Proposes Amendments to Exemptive Applications Procedures
• Financial Conduct Authority of the United Kingdom Sets out Latest Expectations for Firms on Brexit
• Financial Conduct Authority of United Kingdom Fines Tullett Prebon (Europe) Limited £15.4 million
• Financial Conduct Authority of United Kingdom Acts to Protect Those Buying Motor Finance
• Financial Conduct Authority of United Kingdom Announces Future Work on Climate Change and Green Finance
• European Securities and Markets Authority Adopts Market Abuse Regulation Standards on Supervisory Cooperation
• Shanghai Stock Exchange Amends, Optimizes Rules on Disciplinary Sanction, Review & Hearing
• Shanghai Stock Exchange Answers Questions on the Calculation of the Upper Limit of Overseas Securities Institutions’ Domestic Asset Balance under Shanghai-London Stock Connect
• China Ministry of Natural Resources and Shenzhen Stock Exchange Sign Strategic Cooperation Framework Agreement
• European Securities and Markets Authority and Australian Securities and Investments Commission Co-operate on Benchmarks
• Australian Securities and Investments Commission Publishes Report on Effectiveness of Disclosure Reliance
• Australian Securities and Investments Commission Provides Relief from Financial Adviser Compliance Scheme Obligations
• Singapore Exchange Regulation Strengthens Cooperation with Singapore Institute of Surveyors and Valuers
• New initiatives Facilitate Expansion of Financial Institutions in China and Singapore in Each Other’s Markets
• Monetary Authority of Singapore and China Banking and Insurance Regulatory Commission Enhance Supervisory Cooperation
• Hong Kong Securities and Futures Commission Commences Insider Dealing Prosecution against a Former Staff of Hong Kong Television Network Limited
• U.S. Internal Revenue Service Issues Additional Guidance on Tax Treatment involving Virtual Currency

PDF Version

• Australian Securities and Investments Commission Releases Report on Director and Officer Oversight of Non-financial Risk
• European Banking Authority Consults on its Proposals to Create a Simple, Transparent and Standardized Framework for Synthetic Securitization
• Financial Conduct Authority of the United Kingdom Confirms New Rules for Certain Open-Ended Funds Investing in Inherently Illiquid Assets
• Financial Conduct Authority of the United Kingdom Updates its Directions under the Temporary Transitional Power
• Swiss Financial Market Supervisory Authority Finds HNA Group in Breach of Disclosure Obligations
• New Zealand Financial Markets Authority Seeks Feedback on Responsible Investment Products
• Hong Kong Exchanges and Clearing Limited Expands Coverage of Closing Auction Session for its Securities Market
• Hong Kong Exchanges and Clearing Limited Publishes Announcement not to proceed with the Offer for London Stock Exchange Group PLC
• Hong Kong Insurance Authority Authorizes First Non-life Virtual Insurer under Fast Track
• The Stock Exchange of Hong Kong Limited Updates Guidance Materials
• The Listing Committee of The Stock Exchange of Hong Kong Limited Criticizes Yashili International Holdings Limited for Breaching the Listing Rules
• Two Automakers Pay US$40 Million to Settle U.S. Securities and Exchange Commission Charges for Misleading Investors
• Herbalife Nutrition Ltd. Pays US$20 Million to Settle U.S. Securities and Exchange Commission Charges for Misleading Investors
• U.S. Securities and Exchange Commission Orders Blockchain Company to Pay US$24 Million Penalty for Unregistered Initial Coin Offering of Digital Tokens
• U.S. Securities and Exchange Commission Adopts New Rule to Allow All Issuers to “Test-the-Waters”
• U.S. Securities and Exchange Commission Announces to Simplify Volcker Rule
• Hong Kong Securities and Futures Commission Bans a Former Licensed Representative of Sun Hung Kai Investment Services Limited for 30 Months
• Hong Kong Securities and Futures Commission Reprimands and Fines SEAVI Advent Ocean Private Equity Limited HK$1 Million
• Hong Kong Securities and Futures Commission Seeks Disqualification Orders against Former Chairman and Executive Directors of Inno-Tech Holdings Limited
• Hong Kong Securities and Futures Commission Concludes Consultation on the Enhanced Investor Compensation Regime
• Hong Kong Securities and Futures Commission Issues Circular on Terms and Conditions for Licensed Corporations which Manage Portfolios that Invest in Virtual Assets
• Hong Kong Securities and Futures Commission Seeks Compensation and Disqualification orders against Perfect Optronics Limited’s Chairman and Board Members
• Hong Kong Securities and Futures Commission Proposes to Regulate Trustees and Custodians of Public Funds
• Hong Kong Securities and Futures Commission Issues Restriction Notices to a Broker to Freeze Client Accounts Related to a Corporate Officer’s Suspected Breach of Duties
• Hong Kong Securities and Futures Commission Releases Frequently Asked Questions on its Guidelines for Securities Margin Financing Activities
• Hong Kong Securities and Futures Commission Takeovers and Mergers Panel does not Permit Broadford Global Limited to Deduct Dividend from Offer Price
• Shenzhen Stock Exchange Revises ETF Implementation Rules to Promote Sound Development of its ETF Market

 FS_Regulatory_Update_JML_20191011

PDF Version

• Autorité des Marchés Financiers Launches a Public Consultation on the Conditions for Implementing Squeeze-outs and Fairness Opinions in the Context of Public Offers
• Australian Securities and Investments Commission Makes Product Intervention Order Banning Short Term Lending Model to Protect Consumers from Predatory Lending
• Canadian Securities Administrators Proposes Eight Initiatives to Reduce Regulatory Burden for Investment Funds
• European Union Financial Regulators Highlights the Risks as Potential Sources of Instability
• Financial Conduct Authority of the United Kingdom Steps up Efforts to Ensure Firms are Getting Ready for a No-Deal Brexit
• Swiss Financial Market Supervisory Authority Publishes ‘Stable Coin’ Guidelines
• Insurance Authority of Hong Kong Starts Direct Regulation of Insurance Intermediaries
• East Asia-Pacific Central Banks Publishes Report “Study on the Implications of Financial Benchmark Reforms”
• Hong Kong Monetary Authority and Bank for International Settlements Sign Operational Agreement on the BIS Innovation Hub Centre in Hong Kong SAR
• The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Mr Xiang Liang, Former Executive Director of China Environmental Energy Investment Limited for Breaching the Settlement Agreement and the Committee’s Direction
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Pacific Andes International Holdings Limited Cancellation of Listing
• SmarTone Mobile Communications Limited is Convicted of Direct Marketing Offense Stemming from a Complaint Received by the Office of the Privacy Commissioner for Personal Data, Hong Kong
• U.S. Securities and Exchange Commission Charges Prudential Subsidiaries for Misleading Funds Generating Tens of Millions in Tax Benefits for Prudential Financial Inc.
• Three Raymond James Entities Agrees to Pay US$15 Million to Settle U.S. Securities and Exchange Commission Charge for Improperly Charging Retail Investors
• U.S. Securities and Exchange Commission Charges PricewaterhouseCoopers LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct
• U.S. Securities and Exchange Commission Adopts New Rules and Amendments under Title VII of Dodd-Frank Act
• Stock Exchange of Thailand Signs Memorandum of Understanding with Electricity Generating Authority of Thailand to Foster Wholesale Electricity Market
• Hong Kong Securities and Futures Commission Bans Ye Feng for Life
• Hong Kong Securities and Futures Commission Obtains Disqualification Order against Former Executive Director of Life Healthcare Group Limited
• Hong Kong Securities and Futures Commission Commences Market Misconduct Tribunal Proceedings over Alleged Insider Dealing in Meadville Holdings Limited Shares
• Hong Kong Securities and Futures Commission’s New Guidelines for Securities Margin Financing Activities Will Take Effect on October 4, 2019
• Shenzhen Stock Exchange and Budapest Stock Exchange Sign a Memorandum of Understanding on Cooperation
• Shenzhen Stock Exchange Bond Market Steadily Promotes the Securitization of Intellectual Property Rights
• World Federation of Exchanges Highlights Competitive Issues to European Securities and Markets Authority Regarding Market Data & Consolidated Tape

PDF Version

• China Lifts Investment Quota Restrictions for QFII, RQFII Amid Financial Opening-Up
• Hong Kong Exchanges and Clearing Limited Publishes Statement Regarding Possible Offer for London Stock Exchange Group plc
• Hong Kong Securities and Futures Commission Reprimands and Fines The Hongkong and Shanghai Banking Corporation Limited HK$2.1 Million for Breaching Telephone Recording Requirements
• Hong Kong Securities and Futures Commission Bans Jacky Cheung Chiu Hung for Two Years
• Hong Kong Monetary Authority Reminds the Public to Protect Sensitive Personal Information
• Singapore Exchange Deepens Cooperation with Chongqing Bureau to Promote Capital Flows and Facilitate Fundraising for Central and Western China Enterprises
• Monetary Authority of Singapore Invites Applications for New Digital Bank Licenses
• People’s Bank of China Releases FinTech Development Plan (2019-2021)
• Abu Dhabi Global Market Publishes Detailed Guidance on Digital Securities
• China Releases “Implementation Measures for Business of Non-public Issuance of Convertible Corporate Bonds by Non-Listed Companies
• Crypto Operators Should Prepare for De Nederlandsche Bank Supervision
• Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Launch of Key Risk Indicator Platform
• Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations in relation to the Reporting of OTC Derivatives Transactions to Hong Kong Monetary Authority Trade Repository – Revised Technical Specifications
• Hong Kong Monetary Authority Issues Circular on Guidelines on Credit Risk Management for Personal Lending Business
• HKMC Insurance Limited Announces New Relief Measure for 80% Guarantee Product
• Hong Kong Exchanges and Clearing Limited Launches Indian Rupee Currency Futures
• Hong Kong Exchanges and Clearing Limited Invests in Data Technology Firm
• Hong Kong Exchanges and Clearing Limited Signs Memorandum of Understanding with Ping An Insurance Group
• The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Shandong Molong Petroleum Machinery Company Limited and Censures or Criticizes a Number of Its Former Directors for Breaching the Exchange Listing Rules and/or the Director’s Undertaking; and Censures a Number of Its Former Supervisors for Breaching he Supervisor’s Undertaking
• Insurance Authority of Hong Kong Publishes Consultation Conclusions on Codes of Conduct for Licensed Insurance Agents and Licensed Insurance Brokers
• U.S. Securities and Exchange Commission Charges Bitqyck Inc. and its Founders with Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange
• U.S. Securities and Exchange Commission and Commodity Futures Trading Commission Charge Options Clearing Corporation with Failing to Establish and Maintain Adequate Risk Management Policies
• European Securities and Markets Authority Strengthens Liquidity Stress Tests for Investment Funds
• Australian Securities and Investments Commission Research Highlights the Importance of Reforms for Mortgage Brokers and Home Lending
• Australian Securities and Investments Commission Sues 2 Banks for Use of Unfair Contract Terms
• Australian Securities and Investments Commission Extends Relief for Foreign Financial Services Providers
• Shanghai Stock Exchange Reports on Recent Operation of Listed Companies
• Shanghai Stock Exchange Answers Questions on “SSE Rules for Review of Major Assets Reorganization of Listed Companies on SSE STAR Market (Draft)”
• First Batch of Commodity Futures ETFs will be Listed on Shenzhen Stock Exchange
• Shenzhen Stock Exchange and Korea Exchange Sign a Memorandum on Cooperation in Market Regulation and Research
• Shenzhen Stock Exchange Bond Market Actively Serves the Construction of the Guangdong-Hong Kong-Macao Greater Bay Area
• Japan Osaka Exchange Imposes Disciplinary Action against Citigroup Global Markets Japan Inc.
• Royal Bank of Canada and Toronto-Dominion Bank Pays More Than CAD24 Million to Settle Ontario Securities Commission of Canada’s Charges for Foreign Exchange Compliance Failings
• Malta Financial Services Authority Publishes its Strategic Plan 2019 – 2021
• Stock Exchange of Thailand Signs Memorandum of Understanding with International Finance Corporation to Drive Thailand Capital Market towards Sustainable Development

PDF Version

• Stock Exchange of Thailand Welcomes the First Hang Seng Index Derivative Warrants in Thailand
• Hong Kong Securities and Futures Commission and Independent Commission Against Corruption Sign Memorandum of Understanding to Strengthen Cooperation in Combating Financial Crime
• Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Managing the Liquidity Risk of Funds
• Hong Kong Securities and Futures Commission Bans Samuel Lee Kwok Tung for Eight Months
• High Court Extends Interim Injunctions Freezing Assets of Suspected Manipulators of GEM Stock in A Prosecution Brought by Hong Kong Securities and Futures Commission
• Hong Kong Monetary Authority Issues Circular on One-year Extension of the Final Implementation Phase of the Margin Requirements for Non-centrally Cleared Derivatives
• Hong Kong Monetary Authority Updates Requirements for Opening of Accounts Following Amendments to Paragraph 5.1 of the Code of Conduct
• Hong Kong Monetary Authority Provides Liquidity Facilities Framework for Banks
• Hong Kong Exchanges and Clearing Limited Consults Market on Proposed Microstructure Enhancements in the Securities Market
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Shenji Group Kunming Machine Tool Company Limited Cancellation of Listing
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Zhejiang Prospect Company Limited Cancellation of Listing
• Cantor Fitzgerald & Co. and BMO Capital Markets Corporation Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
• U.S. Securities and Exchange Commission Charges ICO Rating with Failing to Disclose it was Paid to Tout Digital Assets
• U.S. Securities and Exchange Commission Charges RSM US LLP with Violating Auditor Independence Rules
• Financial Conduct Authority of the United Kingdom Agrees Plan for a Phased Implementation of Strong Customer Authentication
• Financial Conduct Authority of United Kingdom Requests Claims Management Companies to Raise Advertising Standards
• Singapore Cryptocurrency and Blockchain Industry Association Launches Four-week Public Consultation on Code of Practice for the Digital Asset Industry
• China Announces to Build Shenzhen into Socialist Demonstration Area
• China Unveils New Financial Opening-up Measures
• China Securities Regulatory Commission Releases the Revised Measures for the Administration of Representative Offices of Foreign Stock and Futures Exchanges in China
• Australian Securities and Investments Commission Action Leads to Allianz Australia Insurance Limited Refunding over AUD8 Million in Consumer Credit Insurance Premiums and Fees
• Australian Securities and Investments Commission Updates Guidance on Climate Change Related Disclosure
• Australian Securities and Investments Commission Proposes Ban on the Sale of Binary Options to Retail Clients and Restrictions on the Sale of Contracts for Differences
• Shanghai Stock Exchange Answers Questions on Operation of STAR Market in First Month of Trading
• Shanghai Stock Exchange Reports on Actions against Listed Companies’ Violations in Information Disclosure in H1 2019
• Shenzhen Stock Exchange Reports Punishments for Violations of Listed Companies in 2019
• Canadian Securities Administrators Issues Guidance on Climate Changed-related Disclosure
• Cyprus Securities and Exchange Commission Provides Guidance on Treatment of the Additional Cash Buffer of Investors Compensation Fund

PDF Version

• Hong Kong Securities and Futures Commission Issues Statement on Backdoor Listings and Shell Activities
• Hong Kong Securities and Futures Commission Bans Tu Bing for Life
• Hong Kong Monetary Authority Announces the Implementation Progress and the Future Plans for the Open Application Programming Interface Framework for the Hong Kong Banking Sector
• Hong Kong Exchanges and Clearing Limited Welcomes Public Consultation by Shanghai Stock Exchange and Shenzhen Stock Exchange on WVR-Related Rules Changes
• Hong Kong Exchanges and Clearing Limited Rolls out USD London Metal Mini Futures to Expand London Metal Exchange Trading in Asian Time Zone
• Hong Kong Exchanges and Clearing Limited Introduces Weekly Index Options from September 16, 2019
• The Stock Exchange of Hong Kong Limited Publishes Conclusions on Proposed Rule Changes Associated with Backdoor Listing and Shell Activities to Strengthen Long-Term Health, Quality and Sustainability of the Market
• The Stock Exchange of Hong Kong Limited Announces Stock Connect Inclusion Arrangements for A+H Companies Listed on Star Market
• The GEM Listing Committee of Stock Exchange of Hong Kong Limited Censures Mr Liang Jian Heng, a Former Controlling Shareholder of Wan Cheng Metal Packaging Company Limited, for Breaching the GEM Listing Rules and the Director’s Undertaking
• The Listing Committee of Stock Exchange of Hong Kong Limited Censures a Number of the Current Directors of Amax International Holdings Limited for Breaching the Listing Rules and the Director’s Undertaking
• Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Codification of General Waivers and Principles Relating to IPOs and Listed Issuers and Minor Rule Amendments
• Former Real Estate Investment Trusts Manager and Executives Settle U.S. Securities and Exchange Commission Charges for More Than US$60 Million
• U.S. Securities and Exchange Commission Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K
• Financial Conduct Authority of the United Kingdom Launches Consultation Guiding Firms on the Fair Treatment of Vulnerable Customers
• Financial Conduct Authority of United Kingdom Fines Standard Life Assurance Limited £30 Million for Non-Advised Pension Sales Failures
• Financial Conduct Authority of United Kingdom Announces Extension to its Use of the Temporary Transitional Power
• Financial Conduct Authority of the United Kingdom Provides Clarity on Current Cryptoassets Regulation
• European Securities and Markets Authority Consults on Performance Fee Guidelines for Retail Funds
• European Securities and Markets Authority Readies Stress Testing Requirements for Money Market Funds
• Singapore and Kenya Establish Cooperation on Developing Digital Infrastructure
• Monetary Authority of Singapore Issues New Rules to Strengthen Cyber Resilience of Financial Industry
• Monetary Authority of Singapore Launches Sandbox Express for Faster Market Testing of Innovative Financial Services
• People’s Bank of China Official Interprets Measures for Further Opening Up of the Financial Sector
• Shenzhen Stock Exchange and Shanghai Stock Exchange Publish 2019 Q2 Report on Stock pledged Repo Risk Analysis
• Australian Securities and Investments Commission Consults on New Guidance for Companies on Whistleblower Policies
• Australian Securities and Investments Commission Sues Australia and New Zealand Banking Group Limited for Misrepresentations and Unconscionable Conduct over Account Fees
• Financial Action Task Force Updates its Risk-based Approach Guidance
• Vietnam Launches Government Bond Futures at the Hanoi Stock Exchange
• Swiss Financial Market Supervisory Authority Reviews Effectiveness of the “Direct transmission” Circular
• Abu Dhabi Global Market Welcomes Digital Bank Applications to its International Financial Center
• Abu Dhabi Global Market Releases Regulatory and Governance Regime for Robo-Advisors
• Abu Dhabi Global Market Deepens Financial Collaborations and Economic Ties with Key Institutions in China
• Dubai Gold & Commodities Exchange Signs Memorandum of Understanding with Multi Derivatives Exchange Nepal
• Insurance Authority of Hong Kong Publishes Consultation Conclusions of the Guidelines on “Fit and Proper” Criteria and Continuing Professional Development Requirements for Licensed Insurance Intermediaries
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of China Nonferrous Metals Company Limited Cancellation of Listing
• Hong Kong Securities and Futures Commission Reprimands and Fines Sincere Securities Limited HK$5 Million for Internal Control Failings
• Shanghai Stock Exchange Terminates STAR Market IPO Review of Relevant Companies by Law

PDF Version

• Australian Securities and Investments Commission Proposes to Ban Unsolicited Telephone Sales of Life Insurance and Consumer Credit Insurance
• Cyprus Securities and Exchange Commission Signs a Memorandum of Understanding with Institute of Certified Public Accountants of Cyprus
• European Securities and Markets Authority Consults on Disclosure Guidelines under the Prospectus Regulation
• U.S. Commodity Futures Trading Commission Issues Order Finding that Korea Exchange, Inc. Made a False and Misleading Certification
• Hong Kong Securities and Futures Commission Bans Song Peng for 10 Months
• Hong Kong Securities and Futures Commission Suspends Hui Kwok Piu for Illegal Short Selling
• Hong Kong Securities and Futures Commission Reprimands and Fines Lee’s Securities Company Limited HK$520,000 for Internal Control Failings
• Hong Kong Securities and Futures Commission Reprimands and Fines Glory Sun Securities Limited HK$1.2 Million and Suspends its Current and Former Responsible Officers
• Hong Kong Court Sets Pre-trial Review for Unlicensed Activities Prosecution Brought by the Hong Kong Securities and Futures Commission
• Hong Kong Monetary Authority Issues Circular on Leverage Ratio Treatment of Client Cleared Derivatives and Revisions to Leverage Ratio Disclosure Requirements
• Hong Kong Monetary Authority Releases Report on the Money Laundering and Terrorist Financing Risk Assessment for the Stored Value Facility Sector
• The Listing Committee of GEM of the Stock Exchange of Hong Kong Limited Censures or Criticizes China Regenerative Medicine International Limited and Twelve of its Current and Former Directors for Breaching the GEM Listing Rules and the Director’s Undertaking
• Highlights of the Speech by Hong Kong Privacy Commissioner at the 2019 Asia Privacy Forum in Singapore on Compliance with Regulatory Requirements, Accountability and Data Ethics
• Insurance Authority of Hong Kong Signs Memorandum of Understanding on Delegation of Powers to the Monetary Authority
• U.S. Securities and Exchange Commission Charges Accountant and Friend in US$6.2 Million Insider Trading Scheme
• U.S. Commodity Futures Trading Commission and Securities and Exchange Commission Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures with Requirements for Similar Financial Products
• U.S. Securities and Exchange Commission Staff Publishes Statement Highlighting Risks for Market Participants to Consider as They Transition Away from London Inter-Bank Offered Rate
• U.S. Securities and Exchange Commission and North American Securities Administrators Association Explain Application of Securities Laws to Opportunity Zone Investments
• Nomura Securities International Inc. Pays Misled Bond Customers US$25 Million to Settle U.S. Securities and Exchange Commission Charges
• U.S. Commodity Futures Trading Commission and the Japan Financial Services Agency Issue a Joint Statement Regarding the Comparability of Certain Derivatives Trading Venues in the U.S. and Japan
• Financial Conduct Authority of the United Kingdom Announces HSBC to Extend Redress Scheme for Customers Impacted by Historical Debt Collection Practices
• European Securities and Markets Authority Warns Contracts for Differences Providers on Application of Product Intervention Measures
• European Securities and Markets Authority Publishes Report on the Licensing of Fintech Firms across Europe
• European Securities and Markets Authority Launches Consultation on Cost of Market Data and Consolidated Tape
• Singapore Exchange Regulation Requires Exit Offers to be Fair and Reasonable and Shareholder Vote to Exclude Offeror and Concert Parties
• Singapore Exchange Regulation Consults on Proposed Enhancements to Securities Trading Auction Mechanism
• China Seeks Public Comments on the Optimization of the Business Environment Regulations (Draft for Comment)
• Shanghai Stock Exchange Replies to Inquiries on 2018 Annual Reports of Corporate Bond Issuers
• Shanghai Stock Exchange Implements Opinions on Judicial Guarantee for Launching the Sci-Tech Innovation Board and Piloting the Registration-Based IPO System
• Shanghai Stock Exchange Releases “Memorandums on Information Disclosure of Companies Listed on Sci-Tech Innovation Board” and Supporting Guidelines for Announcement Formats
• Shenzhen Securities Information Co., Ltd Joins the Index Industry Association
• Export-Import Bank of China’s Financial Bonds Debut on Shenzhen Stock Exchange
• Australian Securities and Investments Commission Consults on Proposal to Intervene to Stop Consumer Harm in Short Term Credit
• Australian Securities and Investments Commission Finds Unacceptable Sales Practices, Poor Product Design and Significant Remediation Costs in Consumer Credit Insurance Sold by Major Banks and Lenders
• Caldwell Investment Management Ltd. Pays CAD1.8 Million to Settle Ontario Securities Commission of Canada’s Charges for Violating Trade Execution Rules
• Financial Services and Markets Authority of Belgium Authorizes European Money Markets Institute as Administrator of the EURIBOR Benchmark
• Abu Dhabi Global Market Partners with Ajman Department of Land and Real Estate Regulation to Enhance Economic Integration between Abu Dhabi and Ajman
• Thailand Securities and Exchange Commission Seeks Public Comments on Proposed Amendments to Term Fund Rules
• Hong Kong Securities and Futures Commission Takeovers and Mergers Panel Rules against Waiver of General Offer Obligation in Proposed Maanshan Iron & Steel Company Limited Acquisition
• Hong Kong Securities and Futures Commission and Independent Commission Against Corruption Operation Leads to Charging of Ex-Convoy Global Holdings Limited Executive Directors and Broker’s General Manager
• China Banking and Insurance Regulatory Commission Continues Preferential Treatment to Hong Kong Reinsurance Industry
• Facebook Inc. Settle with U.S. Securities and Exchange Commission and Federal Trade Commission
• China Implements Measures for Further Opening Up the Financial Sector
• The First Batch of 25 Companies Debuts on Shanghai Stock Exchange STAR Market
• Shanghai Stock Exchange Replies to Inquiries on Trading Mechanism of STAR Market in the Initial Stage of Opening
• Shanghai Stock Exchange STAR Market 50 Component Index Will Be Released

PDF Version

• Australian Securities and Investments Commission Commences New Regime for Corporate Whistleblower Protections
• Hong Kong Securities and Futures Commission Publishes Statement on the Conduct and Duties of Directors when Considering Corporate Acquisitions or Disposals
• Hong Kong Securities and Futures Commission Issues Circular to Intermediaries on Amendments to Paragraph 5.1 of the Code of Conduct
• Hong Kong Securities and Futures Commission Issues Circular to Intermediaries on Remote Onboarding of Overseas Individual Clients
• Hong Kong Securities and Futures Commission Bans Goldman Sachs (Asia) L.L.C. Former Responsible Officer Tim Leissner for Life
• The Ministry of Finance of the People’s Republic of China, the China Securities Regulatory Commission and Hong Kong Securities and Futures Commission Sign Tri-partite Memorandum of Understanding on Audit Working Papers
• Hong Kong Securities and Futures Commission Reprimands and Fines Celestial Commodities Limited and Celestial Securities Limited HK$6.3 million for Mishandling Client Money
• Hong Kong Securities and Futures Commission Issues Circular to Intermediaries on New Measure to Protect Client Assets
• Hong Kong Securities and Futures Commission Publicly Criticizes CM Asset Management (Hongkong) Company Limited for Breaches of Takeovers Code
• Hong Kong Monetary Authority and Hong Kong Securities and Futures Commission Issue Joint Consultation Conclusions on Annual Update to the List of Financial Services Providers under the Clearing Obligation for OTC Derivative Transactions
• Hong Kong Monetary Authority Welcomes Setting up of a Bank for International Settlements Innovation Hub Center in Hong Kong
• Hong Kong Monetary Authority and Autorité de Contrôle Prudentiel et de Résolution Enhance Fintech Collaboration
• Hong Kong Monetary Authority Issues Frequent Asked Questions on Reporting Treatment of Transactions Related to Initial Public Offerings
• Hong Kong Exchanges and Clearing Limited Completes Acquisition of Ronghui Tongjin Majority Stake
• Hong Kong Exchanges and Clearing Limited Expands Closing Auction Session to All Equities and Funds
• Hong Kong Exchanges and Clearing Limited Launches USD London Metal Mini Futures in August
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Flyke International Holdings Limited (and Together with its Subsidiaries) Proceeding to Third Stage of Delisting Procedures
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Rui Feng Group Holdings Company Limited Cancellation of Listing
• The Stock Exchange of Hong Kong Limited Announces New Review Structure for Listing Committee Decisions
• Insurance Authority of Hong Kong Publishes Consultation Conclusions on the Guideline on Pecuniary Penalty for Licensed Insurance Intermediaries
• Hong Kong Competition Commission Takes Renovation Cartel Case to Competition Tribunal
• U.S. State Street Bank Settles U.S. Securities and Exchange Commission Charges for Adding Undisclosed Markups on Client Expenses
• U.S. Commodity Futures Trading Commission Orders Merrill Lynch Commodities, Inc. to Pay Approximately US$25 Million for Spoofing, Manipulation, and Attempted Manipulation in Precious Metals Futures
• Financial Conduct Authority of the United Kingdom, U.S. Securities and Exchange Commission and U.S. Commodity Futures Trading Commission Issue Joint Statement on Opportunistic Strategies in the Credit Derivatives Markets
• Financial Conduct Authority of the United Kingdom Confirms Recognition of the Foreign Exchange Global and United Kingdom Money Markets Codes
• Financial Conduct Authority of the United Kingdom Launches Review of the Credit Information Market
• Financial Conduct Authority of the United Kingdom Proposes Ban on Sale of Crypto-Derivatives to Retail Consumers
• Financial Conduct Authority of United Kingdom Confirms Permanent Restrictions on the Sale of Contracts for Difference and Contracts for Difference-like Options to Retail Consumers
• European Securities and Markets Authority Issues Opinions on Product Intervention Measures by Germany, Spain, Bulgaria, Denmark, Latvia and Greece and Ceases Renewal the temporary prohibition of Product Intervention Measure
• European Securities and Markets Authority Consults on Short-Termism in Financial Markets
• European Commission Publishes Guidelines to Improve How Firms Report Climate-related Information and Welcomes Reports on Climate Finance
• Monetary Authority of Singapore Will Issue up to Five Digital Bank Licenses
• Singapore Exchange Launches Asia’s First Portfolio Compression Service for Listed Derivatives
• Shanghai Stock Exchange Launches On-site Supervision of Sponsoring Business for Sci-Tech Innovation Board
• Shanghai Stock Exchange and Japan Exchange Group Launch China-Japanese ETF Connectivity
• Shenzhen Stock Exchange Improves Capital Market Service Functions and Facilitates the Innovative Development of Small and Medium-sized Enterprises
• Shenzhen Stock Exchange Completes the Review of the 2018 Annual Reports on Fixed Income Products
• Shenzhen Stock Exchange Completes the Appraisal of Information Disclosure of Listed Companies
• Shenzhen Stock Exchange and the Belarusian Currency and Stock Exchange Sign a Memorandum of Understanding
• Shenzhen Stock Exchange Continues to Rigorously Implement the Mandatory Delisting Mechanism for Major Violation of Law
• Australian Securities and Investments Commission Consults on Proposed Market Integrity Rules for Technological and Operational Resilience
• Australian Securities and Investments Commission Consults on New Product Intervention Power Use
• Australian Securities and Investments Commission Approves an Updated Banking Code of Practice
• Australian Securities and Investments Commission Consults on Relief for Foreign Providers of Funds Management Services to Australian Professional Investors
• Australian Securities and Investments Commission Provides New Guidance for Certain Australian Financial Services License Applications
• Australian Securities and Investments Commission Restricts iBosses Corporation Limited from Using Disclosure Exemptions for Failing to Lodge Financial Reports
• Financial Action Task Force Issues Guidance for a Risk-Based Approach to Virtual Assets and Virtual Asset Service Providers
• International Organization of Securities Commissions Urges Authorities to Use Existing Standards to Address Cyber Risk
• International Organization of Securities Commissions Examines Liquidity in Corporate Bond Markets under Stressed Conditions
• Shanghai Stock Exchange Announces Listing Arrangements for the First Batch of Companies on the Sci-Tech Innovation Board Market
• China Issues Notice on the Relevant Requirements for the Application for Recordation and Registration of Foreign Debt Issuance by Local State-owned Enterprises
• China Releases 2019 Industry Catalog Encouraging Foreign Investment

PDF Version

• Australian Securities and Investments Commission Approves Australian Financial Complaints Authority Rules Change for Legacy Complaints
• Cayman Islands Monetary Authority Introduces Anti-Money Laundering and Countering the Financing of Terrorism Reporting Requirement
• Hong Kong Securities and Futures Commission and Independent Commission Against Corruption Search Sponsor Firms
• Hong Kong Securities and Futures Commission Publishes Annual Report 2018-19
• Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Foreign Exchange Margin Trading on the Mainland and Other Unregulated Activities
• Hong Kong Securities and Futures Commission and China Securities Regulatory Commission Reach an Agreement on a Cooperative Framework to Facilitate Coordinated Investigations
• Hong Kong Market Misconduct Tribunal Fines Health and Happiness (H&H) International Holdings Ltd and its Chairman HK$3.2 Million in Total for Late Disclosure of Inside Information Following Proceedings Brought by Hong Kong Securities and Futures Commission
• Hong Kong Securities and Futures Commission Reprimands and Fines Credit Suisse (Hong Kong) Limited and Credit Suisse AG HK$2.8 million for Regulatory Breaches
• Hong Kong Securities and Futures Commission Issues Restriction Notices to 9 Brokers to Freeze Client Accounts Linked to Suspected Market Manipulation of China Ding Yi Feng Shares
• Hong Kong Securities and Futures Commission Issues Restriction Notices to 14 Brokers to Freeze Client Accounts Linked to Suspected Market Manipulation of Smartac Group China Holdings Limited
• Hong Kong Securities and Futures Appeals Tribunal Affirms Hong Kong Securities and Futures Commission Decision to Reprimand and Fine FT Securities Limited HK$3.5 Million
• Highlights of Speeches by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities & Futures Commission at Compliance Forum 2019
• Highlights of the Speech by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities & Futures Commission at 2019 Risk Hong Kong Conference
• Hong Kong Privacy Commissioner for Personal Data Requests Operators of Related Online Social Media Platforms and Discussion Forums to Discharge Their Legal and Corporate Ethical Responsibilities
• Australian Securities and Investments Commission Calls on Listed Entities to Focus on Major Financial Reporting Changes and Other Focuses
• Australian Securities and Investments Commission Issues Guidance to Financial Service Licensees to Protect against Share Sale Fraud
• Australian Securities and Investments Commission Releases Reports on Decisions to Cut Red Tape
• Competition Commission of Switzerland Fines 5 Banks CHF 90 Million for Participating in Foreign Exchange Spot Trading Cartel
• China Securities Regulatory Commission and Financial Conduct Authority of the United Kingdom Release the Joint Announcement on Shanghai-London Stock Connect
• Cyprus Securities and Exchange Commission Adopts European Securities and Markets Authority’s Guidelines on Central Counterparties Conflict of Interest Management
• European Securities and Markets Authority Issues Additional Positive Opinions on National Product Intervention Measures Relating to Binary Options
• Financial Conduct Authority of the United Kingdom Publishes Final Report in Relation to Royal Bank of Scotland’s Global Restructuring Group
• Financial Conduct Authority of the United Kingdom Publishes its First Annual Report on the Perimeter
• Financial Conduct Authority of the United Kingdom Fines Bank of Scotland for Failing to Report Suspicions of Fraud
• Hong Kong Exchanges and Clearing Limited Welcomes its First Listing of Active ETF
• Hong Kong Exchanges and Clearing Limited Publishes Cash Market Transaction Survey 2018
• Hong Kong Exchanges and Clearing Limited Announces the Launch of Inline Warrants
• Hong Kong Monetary Authority Issues Circular on Feedback from Thematic Review of Authorized Institutions’ Application of AML/CFT Controls in the Small and Medium-sized Enterprises Segment
• Hong Kong Monetary Authority Issues Guidance on Currency Conversion Arrangement under Stock Connect
• Hong Kong Monetary Authority Announces the Publication of the Global Financial Innovation Network’s “One Year On” Report
• Hong Kong Monetary Authority Issues Circular on Observations of Mystery Shopping Program in respect of Account Opening by Authorized Institutions in Hong Kong
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Heng Xin China Holdings Limited Cancellation of Listing
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Midas Holdings Limited Proceeding to Third Stage of Delisting Procedures
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Centron Telecom International Holding Limited (and Together with its Subsidiaries) Proceeding to Third Stage of Delisting Procedures
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Ding He Mining Holdings Limited Proceeding to Third Stage of Delisting Procedures
• International Association of Insurance Supervisors Embarks on New Strategic Direction
• China Merchants Bank’s Euro-denominated Bond Launches on Luxembourg Stock Exchange
• Singapore and United Kingdom Enhance Cooperation in Data Connectivity, Talent Development, Green Finance and Cybersecurity
• Beauty Product Company is Convicted of Direct Marketing Offense Stemming from a Complaint Received by the Office of the Privacy Commissioner for Personal Data, Hong Kong
• KPMG LLP Pays US$50 Million Penalty to Settle U.S. Securities and Exchange Commission’s Charges for Illicit Use of Public Company Accounting Oversight Board Data and Cheating on Training Exams
• Industrial and Commercial Bank of China Affiliate Pays More Than US$42 Million to Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
• Wedbush Securities Inc. Pays More Than US$8.1 Million to Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
• U.S. Securities and Exchange Commission Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
• U.S. Securities and Exchange Commission, North American Securities Administrators Association and Financial Industry Regulatory Authority Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation
• U.S. Securities and Exchange Commission Charges Walmart with Foreign Corrupt Practices Act Violations
• Opening Ceremony of Shanghai International Center for Communication and Cooperation between Exchanges Holds
• Shanghai Stock Exchange Sci-Tech Innovation Board Market Debuts
• Shenzhen Stock Exchange Spokesperson Answers Reporters’ Questions on Auditing of Listed Companies’ 2018 Annual Reports
• The 2019 Roadshow of Scientific and Technological Achievements of the Chinese Academy of Sciences Holds in Shenzhen Stock Exchange

PDF Version

• Hong Kong Court of Appeal Dismisses Application of Andrew Left for Leave to Appeal to the Court of Final Appeal against the Determinations of the Market Misconduct Tribunal
• Hong Kong Securities and Futures Commission Reprimands and Fines China Merchants Securities (HK) Co., Limited HK$27 million for Sponsor Failures
• Hong Kong Securities and Futures Commission Reprimands and Fines China Merchants Securities (HK) Co., Limited HK$5 million for Mishandling Client Money
• Hong Kong Securities and Futures Commission Bans Wong Ka Hang for nine months
• Hong Kong Securities and Futures Commission Issues Circular to Credit Rating Agencies on Credit Rating Model Risk Management
• Hong Kong Securities and Futures Commission Issues Circular on Third-party Deposits and Payments
• Hong Kong Securities and Futures Commission Seeks Disqualification Order against Former Chief Financial Officer of Fujian Nuoqi Co., Ltd.
• Hong Kong Securities and Futures Commission Issues Announcement in Respect of High Concentration of Shareholding in Best Mart 360 Holdings Limited
• Hong Kong Monetary Authority Issues E-banking Alert: Beware of Unauthorized Small-value Payment Transactions
• Hong Kong Monetary Authority Issues Circular Regarding Frequently Asked Questions Published by Securities and Futures Commission on Disclosure of Investigations Commenced by Licensed Corporations in the Notifications of Cessation of Accreditation
• The Stock Exchange of Hong Kong Limited Publishes Latest Guidance Letter on Long Suspension and Delisting
• The Stock Exchange of Hong Kong Limited Serves Notice on Sanai Health Industry Group Company Limited to Suspend Trading in its Shares
• The Stock Exchange of Hong Kong Limited Publishes Exchange Notice – Suspension of Trading in Relation to Combest Holdings Limited
• Hong Kong Exchanges and Clearing Limited Signs Memorandum with Beijing Antaike Information
• Hong Kong Exchanges and Clearing Limited Welcomes its First Listing of Two-Time Inverse Product
• Auction Company is Convicted of Direct Marketing Offense Stemming from a Complaint Received by the Office of the Privacy Commissioner for Personal Data, Hong Kong
• Office of the Privacy Commissioner for Personal Data, Hong Kong and Singapore’s Personal Data Protection Commission Sign Memorandum of Understanding to Strengthen Cooperation in Personal Data Protection
• Hong Kong Privacy Commissioner for Personal Data Publishes Investigation Report on the Data Breach Incident of Cathay Pacific Airways Limited and Hong Kong Dragon Airlines Limited
• Hedge Fund Adviser Settles U.S. Securities and Exchange Commission Charges to Pay US$5 Million for Compliance Failures Related to Valuation of Fund Assets
• U.S. Securities and Exchange Commission Charges Issuer with Conducting US$100 Million Unregistered Initial Coin Offering
• U.S. Securities and Exchange Commission Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships with Financial Professionals
• Financial Conduct Authority of the United Kingdom Confirms Extension of The Temporary Permission Regime Deadline
• Financial Conduct Authority of the United Kingdom Publishes Decision Notices Concerning Cathay International Holdings Limited, its CEO and Finance Director
• Financial Conduct Authority of the United Kingdom Confirms New Rules for P2P Platforms
• Financial Conduct Authority of the United Kingdom and the Dutch Authority for the Financial Markets Agree on Closer Partnership
• Financial Conduct Authority of the United Kingdom Confirms Biggest Shake-up to the Overdraft Market
• European Securities and Markets Authority Launches Call for Evidence on Position Limits in Commodity Derivatives
• European Securities and Markets Authority Adjusts Application of the Trading Obligation for Shares in a No-Deal Brexit
• European Union Removes Aruba, Barbados and Bermuda from the List of Non-cooperative Jurisdictions
• European Banking Authority, European Insurance and Occupational Pensions Authority and the European Securities Markets Supervisory Authority Launch Consultation on Technical Standards on the Reporting of Intra-group Transactions and Risk Concentration for Financial Conglomerates
• Monetary Authority of Singapore Imposes Civil Penalty of SGD336,000 on Tham Wai Mun Raphael for Insider Trading
• China Securities Regulatory Commission Directs the Launch of Transfer Services for Defaulted Bonds
• Shanghai Stock Exchange Takes Disciplinary Action against Sponsoring Representatives of Application Project for Sci-tech Innovation Board
• Shanghai Stock Exchange Circulates Notice of Criticism to Corporate Bond Issuers
• Shenzhen Stock Exchange Conducts Censure on Shenzhen Datong Industrial Co., Ltd. for Its Refusal to Cooperate with the China Securities Regulatory Commission’s Duty Performing According to Law
• The 1st Special Corporate Bond for Serving the Guangdong-Hong Kong-Macao Greater Bay Area Lands on Shenzhen Stock Exchange
• The First 30-Year Municipal Bond Launches on Shenzhen Stock Exchange
• Australian Securities and Investments Commission Updates Information for Businesses on Initial Coin Offerings and Crypto-assets
• Australian Securities and Investments Commission Releases Market Integrity Report
• Macquarie Securities (Australia) Limited Pays AUD300,000 Infringement Notice Given by the Markets Disciplinary Panel of Australia
• Australian Securities and Investments Commission Consults on Proposals to Maintain Investor Protections by Restricting Retail Offers of ‘Stub-equity’
• Securities and Exchange Surveillance Commission of Japan Makes Recommendation for Administrative Monetary Penalty Payment Order for Market Manipulation of 10-Year Japanese Government Bond Futures by Citigroup Global Markets Limited
• International Organization of Securities Commissions Publishes Consultation Report on Issues, Risks and Regulatory Considerations Relating to Crypto-Asset Trading Platforms
• Deutsche Börse’s Regulatory Reporting Hub Starts New Securities Financing Transactions Regulation Services
• Financial Services Commission of Korea Introduces Deregulatory Measures to Boost Korea’s Derivatives Market
• Financial Supervisory Authority of Finland Announces Virtual Currency Providers to be Covered by Supervision of Anti-money Laundering
• Securities and Exchange Board of India Publishes Report of Working Group on “Foreign Portfolio Investors Regulations” for Public Comments
• The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Asia Coal Limited Cancellation of Listing
• The Listing Committee of Stock Exchange of Hong Kong Limited Censures Kiu Hung International Holdings Limited and a Number of Its Current and Former Directors for Breaching the Listing Rules and/or the Director’s Undertaking
• Hong Kong Securities and Futures Commission Issues Circular to Intermediaries on Prime Services and Related Equity Derivatives Activities
• Hong Kong Securities and Futures Commission Issues Circular to Intermediaries – Implementation of Regulatory Requirements for Online and Offline Sale of Complex Products

PDF Version

• The Stock Exchange of Hong Kong Limited Imposes Specific Suspension Requirements for Listed Issuers with Disclaimer or Adverse Audit Opinions on their Financial Statements
• Hong Kong Securities and Futures Commission and the Dutch Authority for the Financial Markets Sign Memorandum of Understanding on Netherlands-Hong Kong Mutual Recognition of Funds
• Hong Kong Securities and Futures Commission Issues Circular on Recent Inspection Findings Related to Client Facilitation
• Hong Kong Securities and Futures Commission and Independent Commission Against Corruption Operation Leads to Charging of Ex-Convoy Global Holdings Limited Director Cho Kwai Chee
• Hong Kong Securities and Futures Commission Suspends Gransing Securities Co., Limited’s Chairperson Oei Hong Eng for Eight Months
• Hong Kong Securities and Futures Commission Bans a Former Licensed Representative of China Galaxy International Securities (Hong Kong) Co., Limited for 30 Months
• Hong Kong Monetary Authority Grants Stored Value Facility Licenses
• Hong Kong Monetary Authority and Bank of Thailand Sign Memorandum to Foster Fintech Collaboration
• The Listing Committee of Stock Exchange of Hong Kong Limited Censures GT Group Holdings Limited and a Number of its Current and Former Directors for Breaching the Listing Rules and/or the Director’s Undertaking
• The Stock Exchange of Hong Kong Limited’s Announcement – in Relation to the Matter of China Huishan Dairy Holdings Company Limited (Provisional Liquidators Appointed) Proceeding to Third Stage of Delisting Procedures
• The Listing Committee of Stock Exchange of Hong Kong Limited Censures Weiqiao Textile Company Limited and Three of its Current Directors for Breaching the Listing Rules and/or the Director’s Undertaking
• The Stock Exchange of Hong Kong Limited Seeks Views on Strengthening ESG Rules and Publishes Guidance Materials on ESG and Gender Diversity
• Insurance Authority of Hong Kong Commences Direct Regulation over Insurance Intermediaries on September 23, 2019
• Hong Kong Competition Commission Welcomes Judgments in Hong Kong’s First Two Competition Cases
• Hong Kong Competition Commission Publishes Cooperation and Settlement Policy
• U.S. Securities and Exchange Commission Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions
• U.S. Securities and Exchange Commission Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
• Competition and Markets Authority of the United Kingdom Launches Inquiry Relating to the Anticipated Acquisition of First Data Corporation by Fiserv, Inc.
• People’s Bank of China and Monetary Authority of Singapore Renew Bilateral Currency Swap Arrangement
• Monetary Authority of Singapore and Asia-Pacific Future Financial Research Institute Co-operate to Promote FinTech Innovation
• Singapore Exchange Updates Rules on Securities Trading and Market Practices
• Singapore Exchange Launches Securities Market “Trade at Close” Session
• Keynote Remarks by Loh Boon Chye, Singapore Exchange CEO, at REITs Symposium 2019 on the Development of Singapore REITs
• European Parliament Adopts New Whistle-blowers Rules
• European Securities and Markets Authority Issues Two Positive Opinions on National Product Intervention Measures Relating to Binary Options and Contracts for Differences
• European Securities and Markets Authority Announces Public Consultation by the Working Group on Euro Risk-free Rates on the Euro Overnight Index Average to Euro Short-term Rate Legal Action Plan
• European Commission Fines Barclays, RBS, Citigroup, JPMorgan and MUFG Bank €1.07 Billion for Participating in Foreign Exchange Spot Trading Cartel
• China Releases Notice on Conducting the Joint Reporting of Annual Investments and Operations Information of Foreign-Invested Enterprises in 2019
• Shenzhen Stock Exchange and China Energy Investment Corporation Co., Ltd. Deepen Cooperation
• Shenzhen Stock Exchange Publishes Guidance on Disclosure of Restructuring Information to Implement Market-oriented Reforms in Merger and Acquisitions and Restructurings
• Australian Securities and Investments Commission Revokes Dual Authorization of 58 Australian Finance Services License Holders
• Australian Securities and Investments Commission Consults on Lifting Standards and Transparency of Complaints Handling
• Asia-Pacific Economic Cooperation Launches Digital Economy Partnership Agreement Negotiations
• Cyprus Securities and Exchange Commission Issues Circular on Automated Screening Systems to Enhance Customer Due Diligence Measures
• Cyprus Securities and Exchange Commission Issues Directive for the Prevention and Suppression of Money Laundering and Terrorist Financing
• Cyprus Securities and Exchange Commission Issues Findings of Desk-based Reviews Regarding Capital Adequacy Forms
• Belgian Real Estate Investment Trusts Allows to Raise Capital Through Accelerated Bookbuild
• Nordic and Baltic Financial Supervisors Enhance Cooperation to Fight Money Laundering
• Autorité des Marchés Financiers and Israel Securities Authority Sign Cooperation Agreement to Encourage Innovation
• Abu Dhabi Global Market Enhances Guidance on Regulation of Crypto Asset Activities
• Isle of Man Financial Services Authority Issues Consultation Responses in respect of the draft Insurance (Group Supervision) Regulations 2019 and the draft Corporate Governance Code of Practice for Designated Insurers
• Vietnam Issues Guidelines on the Initial Public Offering of Shares and Transfer of State Capital by Book Building Method
• The Memorandum of Understanding on Mutual Recognition of Funds between Hong Kong Securities and Futures Commission and Financial Conduct Authority of the United Kingdom is Revised
• Futures Trader Convicted of Market Manipulation in a Prosecution Brought by Hong Kong Securities and Futures Commission
• HKSAR Government Offers Inaugural Green Bond
• Hong Kong Exchanges and Clearing Limited Extends After-hours Trading Session on June 17, 2019
• Citibank (Hong Kong) Limited is Convicted of Direct Marketing Offense Stemming from a Complaint Received by the Office of the Privacy Commissioner for Personal Data, Hong Kong
• Commissions Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement
• U.S. Securities and Exchange Commission Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors
• Financial Conduct Authority of the United Kingdom Publishes Statement on the Launch of the Finalized Cost Transparency Initiative Templates
• Financial Conduct Authority of the United Kingdom Reports on Cryptoassests and Forex Investment Scams
• China Securities Regulatory Commission Announces the Progress of Investigation into Kangmei Pharmaceutical Co., Ltd.
• Shenzhen Stock Exchange Launches Brand New Upgraded of Easy IR
• Shanghai Stock Exchange Releases Overview and Analysis on 2018 Annual Reports of Listed Companies
• Shanghai Stock Exchange Replies to Inquiries from Reporters Concerning the Progress for Review of Issuance and Listing on Sci-tech Innovation Board
• Financial Sector Conduct Authority of South Africa Invites Public Comments on Draft Conduct Standard for Banks

PDF Version