Financial Services Regulatory Update 2018/11/09

  • European Securities and Markets Authority’s Focus on New International Financial Reporting Standards and Non-financial Information in Issuers’ 2018 Annual Reports
  • Financial Conduct Authority of United Kingdom Fines Liberty Mutual Insurance Europe SE £5.2 Million for Failures in its Oversight of Mobile Phone Insurance Claims and Complaints Handling
  • Hong Kong Monetary Authority and Monetary Authority of Macao Jointly Promote the Enhanced Competency Framework for Banking Practitioners in Macao
  • Hong Kong Monetary Authority’s Launch of eTradeConnect and the Collaboration with
  • Hong Kong Monetary Authority Promotes in Tokyo Hong Kong’s Leading Platform as an International Financial Center and Gateway of China
  • Hong Kong Monetary Authority Strengthening the Verification Requirements for Electronic Wallets Setting Up Direct Debit Authorizations
  • GEM Listing Committee of The Stock Exchange of Hong Kong Limited Censures Sino Splendid Holdings Limited for Breaching the GEM Listing Rules and Censures or Criticizes a Number of its Current Directors for Breaching the Director’s Undertaking
  • Hong Kong Insurance Authority Consults the Public on Proposed Guideline on Pecuniary Penalties for Licensed Insurance Intermediaries
  • Hong Kong Insurance Authority Consults on the Maximum Number of Insurers to be Represented by a Licensed Individual Agent or Agency
  • Monetary Authority of Singapore and China Securities Regulatory Enhance Capital Markets Cooperation
  • Inaugural Singapore-Chongqing Financial Summit Unlocks Opportunities for Regional Financial and Infrastructure Connectivity
  • Hong Kong Privacy Commissioner for Personal Data Expresses Serious Concern on Cathay Pacific Airways Data Breach Incident
  • Hong Kong Privacy Commissioner for Personal Data Releases Research Report to Advocate Respect and Beneficial and Fair Data Ethics Stewardship Management Value and Models
  • U.S. Securities and Exchange Commission Charges Family Friend of Former Investment Banker with Insider Trading
  • U.S. Securities and Exchange Commission Charges Investment Adviser with Running US$3.9 Million Fraud
  • Citibank N.A. Pays More Than US$38 Million to Settle U.S. Securities and Exchange Commission’s Charges of Improper Handling of “Pre-released” American Depositary Receipts

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