Hong Kong Securities and Futures Commission Reprimands and Fines BOCI Securities Limited HK$10 Million for Regulatory Breaches in Selling Investment Products
Hong Kong Securities and Futures Commission Issues Circular on Implementation of Online Platform Guidelines and Offline Requirements for Complex Products
Hong Kong Securities and Futures Commission Issues Restriction Notices to Nine Brokers to Freeze Client Accounts Linked to Suspected Market Manipulation of China Ding Yi Feng Holdings Limited Shares
Hong Kong Securities and Futures Commission Publishes Statement on Security Token Offerings
Highlights of the Speech by Mr Ashley Alder, Chief Executive Officer of Hong Kong Securities & Futures Commission, at Bloomberg BuySide Summit 2019 on “Greening the Financial System”
The Stock Exchange of Hong Kong Limited’s Announcement Relating to Cloud Investment Holdings Limited – Cancellation of Listing
The Stock Exchange of Hong Kong Limited Updates and Streamlines Guidance Materials
The Stock Exchange of Hong Kong Limited Publishes its Latest Listing Committee Report
The Stock Exchange of Hong Kong Limited Publishes Guidance on Reasons for Rejected Listing Applications in 2018
Hong Kong Monetary Authority Issues Circular on a Statement on Crypto-assets Issued by the Basel Committee on Banking Supervision
Hong Kong Monetary Authority Issues Circular on Updating the Supervisory Policy Manual module CR-G-14
Hong Kong Monetary Authority Welcomes a Hong Kong Bank Launching Remote Onboarding Service for Opening Mainland Bank Accounts
Hong Kong Monetary Authority Issues Code of Practice Chapter in Relation to Financial Institutions (Resolution) (Loss-absorbing Capacity Requirements – Banking Sector) Rules
Hong Kong Monetary Authority Issues Circular on Implementation Arrangements on the Enhanced Investor Protection Measures for Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products
Hong Kong Monetary Authority Grants Virtual Banking Licenses
U.S. Securities and Exchange Commission Charges Volkswagen AG and Former CEO With Defrauding Bond Investors During “Clean Diesel” Emissions Fraud
U.S. Securities and Exchange Commission Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
U.S. Securities and Exchange Commission Adopts Rules to Modernize and Simplify Disclosure Requirements
U.S. Securities and Exchange Commission Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pays Over US$8 Million to Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
U.S. Depository Trust & Clearing Corporation Outlines Guiding Principles for Post-Trade Processing of Tokenized Securities
U.S. Commodity Futures Trading Commission and Monetary Authority of Singapore Publish Joint Statement Regarding the Mutual Recognition of Certain Derivatives Trading Venues in the United States and Singapore
Monetary Authority of Singapore Sets out Enforcement Outcomes and Priorities in Inaugural Enforcement Report
China Adopts Foreign Investment Law
Financial Conduct Authority of the United Kingdom Publishes a Statement in Relation to Endorsement of Credit Ratings from the European Union into the United Kingdom in the Event of a No-deal Brexit
Prudential Regulation Authority and Financial Conduct Authority of the United Kingdom Agree Memorandum of Understanding with European Banking Authority
Financial Conduct Authority of the United Kingdom Proposes Changes for Customers to Get More Affordable Mortgage
Financial Conduct Authority of the United Kingdom Acts to Improve Competition in the Investment Platforms Market
Financial Conduct Authority of the United Kingdom Fines UBS AG £27.6 Million for Transaction Reporting Failures
Financial Conduct Authority of the United Kingdom Introduces United Kingdom Benchmarks Register
Serious Fraud Office of the United Kingdom Opens Investigation into London Capital & Finance Plc
European Securities and Markets Authority Publishes a Statement on Application of the Trading Obligation for Shares Following a No-Deal Brexit
European Securities and Markets Authority Agrees to Renew Restrictions on Marketing, Distribution or Sale of Contracts for Differences for a Further Three Months
Australian Securities and Investments Commission Extends Relief Provided for Business Introduction Services
Australia Develops Blockchain Roadmap and Strategy
Canadian Securities Administrators Consult on Regulatory Framework for Crypto-asset Trading Platforms
Cyprus Securities and Exchange Commission Reforms Investor Compensation Fund to Enhance Investor Protection
Cyprus Securities and Exchange Commission Reminds Regulated Entities on Notification Deadline for Financial Conduct Authority of the United Kingdom’s Temporary Permissions Regime
Italian Companies and Exchange Commission Publishes Communication on Obligations of Both British Intermediaries Operating in Italy and Vice-Versa on No-Deal Brexit
Italian Companies and Exchange Commission Publishes Communication on Over the Counter Derivative Contracts and Trading Venues
Dubai Financial Services Authority signs a Memorandum of Understanding with Morocco’s Bank Al Maghrib on Authorization and Supervision of Banks Across Borders
Belgium Approves the New Code of Companies and Associations
Swiss Financial Market Supervisory Authority Launches Consultation on the New Accounting Standards for Banks
German Federal Financial Supervisory Authority Publishes Information Regarding Investment Funds from the United Kingdom
Securities and Exchange Board of India Issues Circular on Clarification on participation of Eligible Foreign Investors in Commodity Derivatives in International Financial Services Centre
Autorité des Marchés Financiers Launches a Consultation on Proposed Measures to Prohibit and Restrict Marketing Binary Options and Contract for Difference Products
European Commission Welcomes European Parliament’s Vote in Favor of Modernized Copyright Rules Fit for Digital Age
Insurance Authority of Hong Kong Consults on the Proposed Codes of Conduct for Licensed Insurance Agents and Licensed Insurance Brokers
Singapore Exchange Expands Foreign Exchange Growth Pillar with Strategic Investment in BidFX
Singapore Securities Investors Association and Institute of Directors Publish Guide on Best Practices for Shareholder Meetings
Shenzhen Stock Exchange and Luxembourg Stock Exchange Launch the Green Fixed Income Information Channel