Hong Kong Securities and Futures Commission Fines UBS Securities Hong Kong Limited HK$375 Million and Suspends its License for One year for Sponsor Failures
Hong Kong Securities and Futures Commission Reprimands and Fines Morgan Stanley Asia Limited HK$224 Million for Sponsor Failures
Hong Kong Securities and Futures Commission Reprimands and Fines Merrill Lynch Far East Limited HK$128 Million for Sponsor Failures
Hong Kong Securities and Futures Commission Reprimands and Fines Standard Chartered Securities (Hong Kong) Limited HK$59.7 million for Sponsor Failures
Hong Kong Securities and Futures Commission Seeks Disqualification Orders against Former Directors of Luxey International (Holdings) Limited
Hong Kong Securities and Futures Commission Issues Announcement in Respect of High Concentration of Shareholding in Grand Investment International Limited
The Stock Exchange of Hong Kong Limited’s Announcement – in Relation to the Matter of Zhongda International Holdings Limited Cancellation of Listing
The Stock Exchange of Hong Kong Limited Publishes Exchange Notice – Suspension of Trading in Relation to China Ding Yi Feng Holdings Limited
Hong Kong Exchanges and Clearing Limited Signs Licence Agreement with MSCI to Launch MSCI China A Index Futures
Hong Kong Monetary Authority Issues Circular on Reform of Interest Rate Benchmarks
Hong Kong Privacy Commissioner for Personal Data Releases Study Report on Implementation of Privacy Management Program by Data Users
BB&T Securities Settles U.S. Securities and Exchange Commission Charges to Return More Than US$5 Million to Retail Investors and Pay Penalty
Mobile TeleSystems PJSC Settles U.S. Securities and Exchange Commission Charges of Foreign Corrupt Practices Act Violations
Wedbush Securities Inc. Settles U.S. Securities and Exchange Commission Charges of Failure to Supervise
U.S. Securities and Exchange Commission Charges Lumber Liquidators Holdings Inc. with Fraud
U.S. Securities and Exchange Commission Share Class Initiative Returning More Than US$125 Million to Investors
Monetary Authority of Singapore Answers Questions from the Committee of Supply: Cuts on Grant for Equity Market, Corporate Governance and Sustainable Financing
Monetary Authority of Singapore Consults on Proposed Enhancements to Technology Risk and Business Continuity Management Guidelines
Highlights of Speech by Mr Daniel Wang, Executive Director, Monetary Authority of Singapore at 19th Asia CEO Insurance Summit on the Issues and Challenges Surrounding Technological Change and Digitization in the Insurance Sector
Director of Shenzhen Stock Exchange Research Institute Answers Questions from Reporters on the Study of Effective Capital Formation in the Guangdong-Hong Kong-Macao Greater Bay Area
Shenzhen Stock Exchange Spokesperson Answers Questions from Reporters on Self-regulatory and Disciplinary Measures Taken Against SZSE-listed Companies in 2018
Shenzhen Stock Exchange Issues a Development Index of Private Enterprises to Facilitate their Healthy Development
Shanghai Stock Exchange Focuses on Regulation in Disclosure and Review of Annual Reports
Questions and Answers on Shanghai Stock Exchange Issuing Supporting Rules and Guidelines for Launching Science-Technology Innovation Board and Piloting Registration-based IPO System
Questions and Answers on Securities Companies Authorizing Clients to Trade Stocks on Shanghai Stock Exchange’s Sci-Tech Innovation Board
China Releases Rules on Science and Technology Innovation Board and Pilot Registration-based IPO System
Financial Conduct Authority of the United Kingdom Releases Updated Guidance on European Union Departure Preparations
Financial Conduct Authority of the United Kingdom Confirms Proposals in the Event of a No-deal Brexit
Financial Conduct Authority of the United Kingdom Calls on Firms to Act Following Review of Costs and Charges Disclosure in the Investment Sector
Financial Conduct Authority of the United Kingdom Publishes Statements of Policy on the Operation of the MiFID Transparency Regime
Financial Conduct Authority of the United Kingdom Confirms Introduction of Rent-to-own Price Cap
Bank of England and Financial Conduct Authority Agree Memoranda of Understanding with European Insurance and Occupational Pensions Authority and European Union Insurance Supervisors
Financial Conduct Authority of the United Kingdom Action Delivers £80 Million Savings in Fees for Credit Card Customers
Financial Conduct Authority of the United Kingdom Welcomes Independent Review into Access to Cash
Financial Conduct Authority of the United Kingdom Reveals Findings from First Cryptoassets Consumer Research
Prudential Regulation Authority and Financial Conduct Authority of the United Kingdom Host the First meeting of the Joint Climate Financial Risk Forum
Financial Conduct Authority of the United Kingdom Issues Statement on the Reporting of Derivatives under the UK European Market Infrastructure Regulation Regime in a No-deal Scenario
Financial Conduct Authority of the United Kingdom Confirms Increase in Financial Ombudsman Service Award Limit
Financial Conduct Authority of the United Kingdom Financial Instruments Reference Data System Opens for Firms to Test Publication
Highlights of Speech by Steven Maijoor, Chair of European Securities and Markets Authority at the FinTech Conference 2019 on Crypto-assets
European Securities and Markets Authority Sets out its Approach to Several MiFID II/MiFIR and Benchmark Provisions under a No-deal Brexit
European Securities and Markets Authority Recognizes the United Kingdom Central Securities Depository in the Event of a No-deal Brexit
European Council Adopts Reform on Reducing Charges on Cross-border Payments and Increasing Transparency on Currency Conversion Charges
European Central Bank Sanctions Sberbank Europe AG for Breaching Large Exposure Limits in 2015
Australian Securities and Investments Commission Consults on Coverage of ePayments Code Review
Australian Securities Exchange Corporate Governance Council Releases the Fourth Edition Corporate Governance Principles and Recommendations
Cyprus Securities and Exchange Commission Requests Regulated Entities to Submit Information of Contact Details
Cyprus Securities and Exchange Commission Issues Circular on Guidance on Identifying, Assessing and Understanding the Risk of Terrorist Financing in Financial Centers
Italian Companies and Exchange Commission Published Warning Concerning Non-Financial Declarations
Emirates Securities and Commodities Authority, Financial Services Regulatory Authority of Abu Dhabi Global Market and Dubai Financial Services Authority Launch Fund Passporting Legislation Enabling UAE-Wide Promotion of Investment Funds