Implications of Share Award Schemes in the Context of a Takeover 20240726 en
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JML Response to SFC Consultation on REIT Schemes and CISs Enhancements
JML Response to SFC Consultation on REIT Schemes and CISs Enhancements
We welcome and are generally in support of the proposals outlined in the SFC Consultation Paper (“Consultation Paper”) in March 2024 on (i) introducing a statutory scheme of arrangement and compulsory acquisition mechanism for real estate investment trusts (“REITs”) and (ii) enhancing the SFO market conduct regime for listed collective investment schemes (“CISs”).
We believe the proposals will be conducive to addressing a current gap in the regulatory framework for REITs listed in Hong Kong. The proposals will also more closely align the treatment of REITs with comparable international markets such as Australia and Singapore. The proposed enhancements to CISs are also welcome.
Our responses to the questions raised in the Consultation Paper are set out below.
JML Response to SFC Consultation on REIT Schemes and CISs Enhancements 20240524Financial Services Regulatory Update 2024/03/28
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- Recent Trend of Privatization in Hong Kong
- Hong Kong Government Opens the New Capital Investment Entrant Scheme for Application
- Hong Kong Securities and Futures Commission’s Quarterly Report Reveals Surge in Net Inflows to Investment Funds in Hong Kong
- Hong Kong Government Adjusts Business Registration Fees and Waives the Business Registration Levy
- Hong Kong Government Gazettes Inland Revenue (Amendment) Bill (Tax Concessions and Two-tiered Standard Rates) Bill 2024 with Tax Concessions and New Rate Structure
- Hong Kong Accounting and Financial Reporting Council Reprimands Chan Steven Kwok Keung and Sino Corp CPA Limited and Imposes Pecuniary Penalties Totaling HK$100,000 for CPA Misconduct
- Hong Kong Securities and Futures Commission and Hong Kong Exchanges and Clearing Limited Collaborate in Enforcement Action Against Two Former GEM-Listed Company Directors for Misconduct
- Hong Kong Securities and Futures Commission Reminds Public Virtual Asset Trading Platforms Application Period Has Ended Under Transitional Arrangements
- Cayman Islands Updates Beneficial Ownership Regime – Balancing Transparency and Privacy
Financial Services Regulatory Update 2023/11/24
- Hong Kong’s Role in Environmental, Social, and Governance ESG Digitalization and Inclusion under the Belt and Road Initiative
- Stock Exchange of Hong Kong Limited’s Update on Consultation on Enhancement of Climate Disclosures under Environmental, Social, and Governance ESG Framework
- Hong Kong Securities and Futures Commission Supports and Sponsors the Development of an Industry-Led Voluntary Code of Conduct for Environmental, Social, and Governance ESG Ratings and Data Products Providers
- Hong Kong Competition Commission Takes Estate Agencies’ Price-Fixing Cartel Case to Hong Kong Competition Tribunal
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- Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Proposed Amendments to Listing Rules Relating to Treasury Shares and Guidance Letter on Issuers’ Automatic Share Buy-back Programs
- Hong Kong Securities and Futures Commission Consults Further on Proposed Amendments for Implementing an Uncertificated Securities Market
- Hong Kong Monetary Authority Publishes the “e-HKD Pilot Programme Phase 1 Report”
- Gazettal of Bankruptcy and Companies Legislation (Miscellaneous Amendments) Ordinance 2023 (Commencement) Notice 2023
Financial Services Regulatory Update 2023/06/23
- Hong Kong Accounting and Financial Reporting Council Sets out Its Position on Documentation of an Auditor’s Work on “Other Information” Included in the Annual Report of a Listed Entity
- Hong Kong Exchanges and Clearing Limited Publishes Regulation Newsletter for Listed Issuers : Disclosure of Business Valuations in Transactions
- Hong Kong Securities and Futures Commission Consults on Revisions to Takeovers and Share Buy-Back Rules
- Hong Kong Exchanges and Clearing Limited Launches Hong Kong Dollar – Renminbi Dual Counter Model and Dual Counter Market Making Programme
- Hong Kong Securities and Futures Commission Concludes Consultation on Regulation of Virtual Asset Trading Platforms
- Hong Kong Securities and Futures Commission Concludes Consultation on the Position Limit Regime
Financial Services Regulatory Update 2023/03/24
- Implications of the New Mainland Rules for Overseas Listings to Hong Kong Takeover Transactions
- The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Rule Amendments Following Mainland China Regulation Updates and Other Proposed Rule Amendments Relating to PRC Issuers
- The Hong Kong Exchanges and Clearing Limited Publishes Enforcement Bulletin to Remind Directors of their Duties to Safeguard the Assets or Interests of Issuers
- Hong Kong Exchanges and Clearing Limited Publishes an Updated Guide on General Meetings
- Hong Kong Exchanges and Clearing Limited Publishes Frequently Asked Questions on PRC’s New Filing Requirements for Overseas Listings and Securities Offerings by Mainland companies 118-2023
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Financial Services Regulatory Update 2022/09/30
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- Takeovers Panel of the Hong Kong Securities and Futures Commission Rules on the Price for the Mandatory General Offer for Suncity Group Holdings Limited
- The Financial Services Development Council of Hong Kong Publishes Recommendations in relation to Cementing Hong Kong’s Role as a Premier Private Wealth Management Hub in Asia
- Hong Kong Monetary Authority Announces the Launch of the Enhanced Competency Framework on Compliance – Hong Kong on the Right Track to Proactively Build Talent
Financial Services Regulatory Update 2022/01/21
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- Hong Kong Exchanges and Clearing Limited Signs New Strategic Cooperation Agreement with Shenzhen Stock Exchange to Support Greater Bay Area Development
- Hong Kong Monetary Authority Issues Discussion Paper on Crypto-assets and Stablecoins
- Closer Capital Markets Cooperation for Greater Synergy Between the Mainland and Hong Kong — Speech at the 15th Asian Financial Forum 2022 by Dr. Fang Xinghai, Vice Chairman of China Securities Regulatory Commission
Financial Services Regulatory Update 2021/11/26
- The Growing Significance of Online Platform to Facilitate Shareholders’ Meetings — Observations from the Case Re Chong Hing Bank Limited (創興銀行有限公司)
- The Stock Exchange of Hong Kong Limited Publishes Conclusions on Reforms to Enhance Listing Regime for Overseas Issuers
- Hong Kong Monetary Authority Takes Disciplinary Actions Against Four Banks for Contraventions of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
- The China Securities Regulatory Commission Vice Chairman Fang Xinghai Commenting on China-ASEAN Capital Market Cooperation at the 2021 China-Singapore (Chongqing) Strategic Connectivity Demonstration Project Financial Summit
Financial Services Regulatory Update 2021/10/29
- Comparative Review of Regulators’ Approaches Towards Financial Institutions’ Due Diligence Against Potential Frauds, Bribery and Other Red Flags
- Hong Kong Monetary Authority Announces a List of Eligible Banks in Hong Kong for Launching the Cross-boundary Wealth Management Connect Pilot Scheme
- The People’s Bank of China and the Hong Kong Monetary Authority Sign the “Memorandum of Understanding on Fintech Innovation Supervisory Cooperation in the Guangdong-Hong Kong-Macao Greater Bay Area”
- The Stock Exchange of Hong Kong Limited Launches e-Learning on Continuing Obligations
- Hong Kong Insurance Authority Welcomes the Inaugural Issuance of Insurance-linked Securities in Hong Kong
- China Securities Regulatory Commission Announced Financial Derivatives Accessible to Qualified Foreign Investors
Lectures on Hong Kong Listing Rules – How to Avoid an Option to Exit a Joint Venture (with Uncertain Exercise Price) from being Deemed as a Major Transaction Requiring Shareholders’ Approval
Lectures on Hong Kong Listing Rules
How to Avoid an Option to Exit a Joint Venture (with Uncertain Exercise Price) from being Deemed as a Major Transaction Requiring Shareholders’ Approval
Lectures on Listing Rules_20210930_eHong Kong Licensed Corporations Alert 2021/09/17
- The Stock Exchange of Hong Kong Limited Launches Consultation on Hong Kong’s Special Purpose Acquisition Companies (SPAC) Regime Proposing a Minimum HK$1 Billion Initial Offering, Voting-related Redemption Restrictions and Specific Role of SPAC Licensed Promoter
- Updates on Hong Kong Securities and Futures Commission’s Anti-money Laundering and Counter-Financing of Terrorism Guidelines
- Management Experience Requirements for Responsible Officers and Related Transferability Issues in the Hong Kong Markets
- The Process of Regulation is Subject to Judicial Scrutiny in Open Court – Balancing Interests of Fund Investors and Public Interests in the Case of Christopher James Aarons v. Securities and Futures Commission, SFAT Application No.1 of 2021
Financial Services Regulatory Update 2021/09/03
- Steering Committee on Bond Market Development in Hong Kong Convenes First Meeting – Rethinking Green Finance – Should We Have “Carbon Connect”?
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Coolpad Group Limited (Stock Code: 2369) and Six Former Directors
- Hong Kong Exchanges and Clearing Limited to Launch Derivatives Product on New MSCI China A 50 Connect Index
- Hong Kong Exchanges and Clearing Limited Signs Memorandum of Understanding with Guangzhou Futures Exchange
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against a Former Director of Grand Peace Group Holdings Limited (Delisted, previous Stock Code: 8108)
- Hong Kong Exchanges and Clearing Limited to Collaborate with Hong Kong Science and Technology Parks Corporation on Biotech, Fintech Initiatives
- Hong Kong Securities and Futures Commission Concludes Consultation on Climate-Related Risks in Funds
- Hong Kong Securities and Futures Commission Approves the Launch of an A shares Index Futures Contract by the Hong Kong Exchanges and Clearing Limited
- Hong Kong Securities and Futures Commission and Police Conduct Joint Operation Against Listed Company and Senior Executives in HK$450 Million Corporate Fraud Case
- Hong Kong Securities and Futures Commission Alerts the Public of Unauthorized Investment Schemes
- Hong Kong Securities and Futures Commission Suspends Cheung Man Chit for Two Years
- U.S. Federal Court Orders Multi-Million Dollar Ponzi Scheme Fraudster Permanently Banned from Trading and Registering with U.S. Commodity Futures Trading Commission
- U.S. Commodity Futures Trading Commission Orders a Man to Pay US$150,000 for Registration Violation and Violations of Commodity Pool Operator Regulations
- U.S. Federal Court Orders a Man and Two Companies to Pay Over US$15.6 Million for Forex Fraud and Registration Violations
- U.S. Commodity Futures Trading Commission Amends Existing Brexit-Related Relief to Provide Market Certainty
- U.S. Securities and Exchange Commission Announces Three Actions Charging Deficient Cybersecurity Procedures
- U.S. Securities and Exchange Commission Requests Information and Public Comment on Matters Related to the Use of Digital Engagement Practices by Broker-Dealers and Investment Advisers
- U.S. Securities and Exchange Commission Charges Global Crypto Lending Platform and Top Executives in US$2 Billion Fraud
- U.S. Securities and Exchange Commission Charges Underwriter and Its Former CEO With Misconduct In Muni Bond Tender Offer
- U.S. Securities and Exchange Commission Charges Healthcare Services Company and CFO for Failing to Accurately Report Loss Contingencies as part of Continuing Earnings Per Share Initiative
- Shenzhen Stock Exchange Solicits Opinions on the Revision of the Implementation Rules on the IPO Stock Issuance and Underwriting Business on the ChiNext Board
- Shanghai Stock Exchange Solicits Public Opinions on the Revision of Business Rules related to the Issuance and Underwriting of Shares on the STAR Market
- Singapore Exchange Securities Trading Limited Listings Disciplinary Committee Reprimands Astaka Holdings Limited, its Present Executive Director and Former CEO Zamani Bin Kasim, and its Former CFO Lee Shih Yi
- Singapore Exchange Regulation Charts the Way Forward on Mandatory Climate Reporting, Wants Board Diversity Disclosures
- Australian Securities and Investments Commission Consults on Payment for Order Flow Rule Amendments
- Australian Securities and Investments Commission Publishes Corporate Plan 2021-25
- The Financial Conduct Authority of the United Kingdom Warns Insurance Firms over Product Governance Rules Deadline
- The Financial Conduct Authority of the United Kingdom Reminded Firms about Potential Financial Crime Risks linked to Afghanistan
Financial Services Regulatory Update 2021/07/09
- Hong Kong Special Administrative Region Government Welcomes Consensus Largely Reached on BEPS 2.0 Framework, Including the Global Minimum Tax Rate Proposal, on the Same Date of Gazetting of the Securities and Futures (Amendment) Bill 2021 and the Limited Partnership Fund and Business Registration Legislation (Amendment) Bill 2021 Providing for New Fund Re-domiciliation Mechanisms
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Alltronics Holdings Limited (Stock Code: 833) and Ten Directors
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against IntelliCentrics Global Holdings Ltd (Stock Code: 6819) and Two Executive Directors
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against China Fortune Investments (Holding) Limited (Stock Code: 8116) and Nine Directors
- The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Inno-Tech Holdings Limited (In Liquidation) (Stock Code: 8202)
- The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Chinese Food and Beverage Group Limited (Stock Code: 8272)
- The Stock Exchange of Hong Kong Limited Publishes Revised Policy Statement on the Enforcement of the Listing Rules and Sanctions Statement
- Hong Kong Securities and Futures Commission Publishes New Guidance on ESG Fund Disclosures
- Hong Kong Court of Appeal Grants Hong Kong Securities and Futures Commission HK$622 Million Compensation Orders against Former Directors of EganaGoldpfeil (Holdings) Ltd
- Hong Kong Securities and Futures Commission Reprimands and Fines Raymond Leung Tak Shing HK$400,000 for Breaches of Anti-Money Laundering Regulatory Requirements
- Hong Kong Securities and Futures Commission Bans Lau Kwo for 12 months
- Hong Kong Securities and Futures Commission and the Independent Commission Against Corruption Search a Listed Company and an Underwriter
- U.S. Commodity Futures Trading Commission Charges Three Individuals and Three Companies with Fraud in Multimillion-Dollar Precious Metals Scheme
- U.S. Commodity Futures Trading Commission Issues Interpretation to Swap Dealers Regarding Calculating Capital Requirements
- U.S. District Court Sanctions a Man for Fraudulent Scheme Attempting to Profit from COVID-19
- U.S. Securities and Exchange Commission Charges Amec Foster Wheeler Limited With Foreign Corrupt Practices Act Violations Related To Brazilian Bribery Scheme
- U.S. Securities and Exchange Commission Charges Electronic Trading Platform for Operating As An Unregistered Broker-Dealer
- U.S. Securities and Exchange Commission Charges Self-Proclaimed Real Estate “Dealmaker” With Multiple Offering Frauds and Misappropriation of Investor Funds
- U.S. Securities and Exchange Commission Charges Finance Employee and Friend With Insider Trading
- U.S. Securities and Exchange Commission Charges Hedge Fund Trader in Lucrative Front-Running Scheme
- U.S. Securities and Exchange Commission Charges Company and Two Executives for Misleading COVID-19 Disclosures
- Singapore Exchange and Platts Partner to Provide Commodities Data and Content
- Countdown to Singapore International Ferrous Week
- The Financial Conduct Authority of the United Kingdom Consults on Reforms to Improve the Effectiveness of UK Primary Markets
- Australian Securities and Investments Commission Consults on Amendments to Market Integrity Rules
- Shenzhen Stock Exchange Actively Serves the Connection between Swiss Tech Start-ups and Capital Resources, Boosting Sino-Swiss Regular Technological Cooperation
- Shenzhen Stock Exchange Adjusts Downward the Handling Fee of Fund Transactions to Support the Development of the Fund Market
Financial Services Regulatory Update 2021/06/11
- Australian Securities and Investments Commission Clarifies Requirements on Declaration of Dividends During Schemes of Arrangement – Comparison with Hong Kong Requirements – Tightening Loose Regulation in Hong Kong
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Dongyue Group Limited (Stock Code 189) and Ten Directors
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Baytacare Pharmaceutical Co., Ltd. (Delisted, Previous Stock Code: 8197), 12 Directors and four Supervisors
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Mr. Yu Jian Qiu, Executive Director and Chairman of China Metal Resources Utilization Limited (Stock Code: 1636)
- Significant Guidances and Regulatory Initiatives of The Stock Exchange of Hong Kong Limited During the Period from May 28, 2021 to June 11, 2021
- Hong Kong Securities and Futures Commission reprimands and Fines Ewarton Securities Limited HK$1.5 Million
- The Court of First Instance of Hong Kong Orders Boiler Room Fraudsters to Compensate Investors
- The Securities and Futures Appeals Tribunal of Hong Kong Allows Review for Mr. Cai Hongping against the Decision to Ban Him from Re-entering the Industry for Five Years
- Market Misconduct Tribunal of Hong Kong Sanctions Mr. Cheng Chak Ngok for Insider Dealing in China Gas Shares
- Hong Kong Securities and Futures Commission Suspends Mr. Lun Sheung Nim for 7.2 months
- U.S. Commodity Futures Trading Commission Interest Rate Benchmark Reform Subcommittee Recommends July 26 for Transitioning Interdealer Swap Market Trading Conventions from LIBOR to SOFR
- U.S. Federal Court Orders a Man to Pay More than US$500,000 for Attempting to Fraudulently Profit From COVID-19
- U.S. Securities and Exchange Commission Charges Couple with Insider Trading on Confidential Clinical Trial Data
- U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors
- Singapore Exchange Welcomes Synergy Futures as Derivatives Trading Member
- The Financial Conduct Authority of the United Kingdom Confirms Measures to Protect Customers from the Loyalty Penalty in Home and Motor Insurance Markets
- Australian Securities and Investments Commission Commences Civil Proceedings against Shipbuilder Austal Limited for Continuous Disclosure Breach
- Shenzhen Stock Exchange Further Implements Fee Cut Policy to Assist in the High-quality Development of Listed Companies
- Shenzhen Stock Exchange Decides to Delist *ST Steyr According to Laws
- Shenzhen Stock Exchange Strengthens Ex Post Regulation of Annual Reports in the Bond Market with a Focus on Enhancing the Fundamental Goal and Guarding Against Risks
Financial Services Regulatory Update 2021/04/16
- U.S. Securities and Exchange Commission’s Latest Response to the Unprecedented Surge in the Use of Special Purpose Acquisition Companies (SPACs) to List on the U.S. Securities Markets
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action Against My Heart Bodibra Group Limited (Stock Code: 8297) and Two Directors
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action Against China Tangshang Holdings Limited (Stock Code: 674) and its Executive Directors
- Hong Kong Securities and Futures Commission Reprimands and Fines Black Marble Securities Limited HK$1.8 Million for Internal Control Failings and Regulatory Breaches
- Hong Kong Eastern Magistrates’ Court Issued Arrest Warrant for alleged Social Media Ramp-and-Dump Manipulator
- Hong Kong Market Misconduct Tribunal Sanctions Two Former Executives for Insider Dealing in Asia Telemedia Limited Shares
- Hong Kong Eastern Magistrates’ Court Acquits Solicitor of Insider Dealing in Shares of CASH Financial Services Group Limited
- Hong Kong Securities and Futures Commission Reprimands and Fines Optimas Capital Limited HK$1.05 Million Over Short Position Reporting Failures
- U.S. Commodity Futures Trading Commission Orders A Man to Pay More than US$1 Million for Role in Fraudulent Binary Options Scheme
- U.S. Federal Court Orders Company and its Owner to Pay More Than US$32 Million for Cryptocurrency Fraud and Misappropriation Scheme
- U.S. Federal Court Orders A Man to Pay Over $10.3 Million for Defrauding Commodity Futures Clients in Long-Running Ponzi Scheme
- U.S. Commodity Futures Trading Commission Orders The Alista Group, LLC and a Man to Pay More Than US$2.6 Million in Precious Metals Fraud
- U.S. Securities and Exchange Commission Charged Auditor for Failure to Register with PCAOB and Multiple Audit Failures
- U.S. Securities and Exchange Commission Obtains Emergency Asset Freeze, Charges Actor with Operating a US$690 Million Ponzi Scheme
- U.S. Securities and Exchange Commission Charges Felon and Six Others in Oil-and-Gas Offering Fraud
- Singapore Exchange Welcomes Haitong International Singapore as Securities and Derivatives Clearing Member
- Singapore Exchange Consults on Special Purpose Acquisition Companies Listing Framework
- Singapore Exchange, Enterprise Singapore and E-Steel Announce Inaugural Singapore International Ferrous Week
- Singapore Exchange and New Zealand’s Exchange Seal Partnership on Dairy Derivatives to Unlock Growth
- Singapore Exchange Welcomes Zhongda (HK) Futures as Derivatives Trading Member
- Financial Conduct Authority of the United Kingdom Warns That Younger Investors are Taking on Big Financial Risks
- Financial Conduct Authority of the United Kingdom Launches Campaign to Encourage Individuals to Report Wrongdoing
- Australian Securities and Investments Commission to Adopt “No-action” Position for AGMs
- Australian Securities and Investments Commission Bans the Sale of Binary Options to Retail Clients
- Shenzhen Stock Exchange Officially Implements Merger between Main Board and SME Board to Better Serve High-quality Economic Development
- Shenzhen Stock Exchange Releases Survey Report on Investor Relations Management of Listed Companies in 2020
- China Securities Regulatory Commission issued a prior notice of administrative supervision measures to Haitong Securities, Haitong Asset Management and relevant responsible personnel
- The People’s Bank of China, China Banking and Insurance Regulatory Commission, China Securities Regulatory Commission and State Administration of Foreign Exchange issued “the Opinions on Financial Support for Hainan’s Comprehensively Deepening Reform and Opening-up”
- The China Securities Regulatory Commission Publicly Solicits Opinions on the Revision of the “China Securities Regulatory Commission Administrative Licensing Implementation Procedure Regulations”
- Shanghai Stock Exchange Held “Tracking China through Indexes” Virtual Roadshow
- Shanghai Stock Exchange Accommodates to the Structural Changes in the Market and Strengthen the Protection of Investors’ Rights and Interests
Financial Services Regulatory Update 2021/04/02
- Additional Disclosure Required by Hong Kong Securities and Futures Commission of Future Intentions for Unlisted Securities When Offered as Consideration of Offer
- The Stock Exchange of Hong Kong Limited Seeks Views on Reforms to Enhance Listing Regime for Overseas Issuers
- The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Harmonicare Medical Holdings Limited (Stock Code: 1509)
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Coslight Technology International Group Limited (Stock Code: 1043) and its 10 Directors
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against China Yu Tian Holdings Limited (Delisted, Previous Stock Code: 8230) and its Seven Directors
- Hong Kong Securities and Futures Commission Obtains Disqualification Orders against Former Senior Executives of Long Success International (Holdings) Limited
- Hong Kong Securities and Futures Commission Reprimands and Fines GEO Securities Limited HK$6.3 Million for Breaching its Licensing Conditions and Failures related to the Sale of Unlisted Bonds
- U.S. Federal Court Orders U.K. Man to Pay More Than US$571 Million for Operating Fraudulent Bitcoin Trading Scheme
- U.S. Commodity Futures Trading Commission Orders Coinbase Inc. to Pay US$6.5 Million for False, Misleading, or Inaccurate Reporting and Wash Trading
- U.S. Commodity Futures Trading Commission Charges Former Fuel Oil Trader with Manipulating Fuel Oil Benchmark
- U.S. Commodity Futures Trading Commission Charges Rancher and Feedyard with US$233 Million Phantom Cattle Fraud Scheme
- U.S. Securities and Exchange Commission Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act
- Keynote Speech by Chairman YI Huiman at the China Securities Regulatory Commission Roundtable of China Development Forum 2021
Financial Services Regulatory Update 2021/03/19
- Enterprise Ireland launches IPO Strategic Finance Program 2021 with Euronext
- The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Bolina Holding Co., Ltd. (In Liquidation) (Stock Code: 1190)
- The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of China Assurance Finance Group Limited (Stock Code: 8090)
- The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Gold-Finance Holdings Limited (Provisional Liquidators Appointed) (Stock Code: 1462)
- The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Youyuan International Holdings Limited (In Liquidation) (Stock Code: 2268)
- Market Misconduct Tribunal Sanctions Magic Holdings International Limited and its Directors for Late Disclosure of Inside Information
- Hong Kong Securities and Futures Commission Reprimands and Fines Sino-Rich Securities & Futures Limited HK$7.2 Million for Breaches of Anti-Money Laundering Regulatory Requirements
- Hong Kong Securities and Futures Commission Issues Restriction Notices to 15 Brokers to Freeze Client Accounts Linked to Suspected Social Media Ramp-and-Dump Scam
- Hong Kong Securities and Futures Commission Reprimands and Fines Yardley Securities Limited HK$5 Million for Breaches of Anti-Money Laundering Regulatory Requirements
- U.S. Commodity Futures Trading Commission Charges Two Individuals with Multi-Million Dollar Digital Asset Pump-and-Dump Scheme
- U.S. Commodity Futures Trading Commission Charges A Man with Fraud and Misappropriation
- U.S. Securities and Exchange Commission Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts
- U.S. Securities and Exchange Commission Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme
- U.S. Securities and Exchange Commission Obtains Emergency Asset Freeze, Charges Trader with Posting False Stock Tweets
- U.S. Securities and Exchange Commission Charges Fraudster With Selling “Insider Tips” on the Dark Web
- U.S. Securities and Exchange Commission Charges Co-Founders of Biotech Company With US$60 Million Fraud
- U.S. Securities and Exchange Commission Charges Owner of Real Estate Investment Company with Defrauding Investors
- U.S. Securities and Exchange Commission Obtains Emergency Asset Freeze, Charges An Individual with Fraud Involving Sham Bottling Company
- Shenzhen Stock Exchange Notifies Abnormal Trading of “China Development Bank 2009” and “China Development Bank 2008” to Remind Investors to Trade Rationally
- Shenzhen Stock Exchange Firmly Implements New Development Philosophy and Launches Sci-Tech Innovation Bonds and Carbon-neutral Special Bonds
- Shenzhen Stock Exchange Resolutely Fulfills Primary Responsibility of Delisting and Promotes Delisting of KDX in Accordance with Laws and Regulations
- Shenzhen Stock Exchange Launches 2021 “Investor Service Season” Campaign
- China Securities Regulatory Commission Issues the Rules of Organization for the Administrative Punishment Committee
- Questions & Answers on Kangdexin’s Delisting Given by the Spokesperson of China Securities Regulatory Commission
- Shanghai Stock Exchange Introduces Carbon-Neutral Green Bond, Serving National Strategies and Promoting Green Development
- Take the China-Central and Eastern European Capital Market Collaboration to the Next Stage: Shanghai Stock Exchange Signs MOU with Belgrade Stock Exchange
- Singapore Exchange Welcomes Aztech Global Ltd. to Mainboard
- Singapore Exchange and Marex Spectron Collaborate on Ferrous Analytics Offering
- Financial Conduct Authority of the United Kingdom Confirms the Increase in Thresholds for Contactless Payments
- Australian Securities and Investments Commission Cancels Urban Commercial Group’s Australian Credit License