Financial Services Regulatory Update 2019/04/26

  • Market Misconduct Tribunal Fines Fujikon, its Chief Executive Officer and Chief Financial Officer HK$1.5 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 Nine Masts Capital Limited HK$1.2 million over Naked Short Selling
  • Hong Kong Securities and Futures Commission Bans Former Responsible Officer of Guosen Securities (HK) Brokerage Company Limited for 10 Months
  • Hong Kong Monetary Authority and Securities and Futures Commission Adopt a Coordinated Approach to Supervise Banks and Licensed Corporations
  • Hong Kong Monetary Authority Issues Circular on Introduction of Tiered Account Services
  • Hong Kong Monetary Authority and China Export & Credit Insurance Corporation Sign Memorandum of Understanding on Infrastructure Financing Facilitation
  • U.S. Securities and Exchange Commission Charges Former Woodbridge Group of Companies LLC Directors of Investment with Fraud
  • Silicon Valley Company Settles U.S. Securities and Exchange Commission’s Fraud Charge for Misstating Returns to Investors
  • Monetary Authority of Singapore Reprimands Mr Tan Choon Wee for the Omission of Information in a Capital Markets Services License Application and Failing to Discharge his Duty and Function as Chief Executive Officer and Director
  • Monetary Authority of Singapore Responses to Inquiries on Retail Bonds
  • Institute of Banking and Finance Singapore-Monetary Authority of Singapore Study Identifies Skills for More Competitive Financial Sector Workforce
  • Financial Conduct Authority of the United Kingdom Updates on Brexit Delay
  • Financial Conduct Authority of the United Kingdom Sets out its Priorities for 2019/20
  • Highlights of Speech by Andrew Bailey, Chief Executive of Financial Conduct Authority of United Kingdom, at Bloomberg, London on the Future of Financial Conduct Regulation
  • China Financial Futures Exchange Further Adjusts Rules for Stock Index Futures Trading
  • Australian Securities and Investments Commission Warns of Some Australian Financial Service Licensees Breaking Overseas Laws
  • Australian Securities and Investments Commission Surveys Highlight Continued Growth in Innovative Funding Platforms
  • Citigroup Refunds Over AUD3 Million to Clients Following an Australian Securities and Investments Commission Investigation
  • Australian Securities and Investments Commission Warns Trustees about Protecting Your Super Laws and Provides Guidance for Consumers
  • New Zealand Changes the Financial Advice Regulations
  • German Federal Financial Supervisory Authority Signs New Memorandum of Understanding with Prudential Regulatory Authority and Financial Conduct Authority of the United Kingdom to Regulate Supervisory Cooperation after Brexit
  • Italian Companies and Exchange Commission Approves 2019-2021 Three-year Strategic Plan
  • United Arab Emirates Abu Dhabi Global Market Strengthens Regulatory Supervision with Enhanced Anti-Money Laundering Regime
  • Dutch Authority for the Financial Markets Takes National Measures to Prohibit Binary Options and Restrict the Marketing or Sales of Contract for Difference
  • Swiss Financial Market Supervisory Authority Joins the Network for Greening the Financial System
  • Canadian Securities Administrators Signs Co-operation Agreement with Financial Conduct Authority of the United Kingdom
  • U.S. Commodity Futures Trading Commission Charges Foreign Exchange Trading Firms and Principals in US$75 Million Fraud
  • China and Japan Sign ETF Connectivity Agreement at Capital Markets Forum in Shanghai
  • European Banking Authority Publishes Opinion on the Nature of Passport Notifications for Agents and Distributors of E-money
  • Hong Kong Mortgage Corporation Limited and China Export & Credit Insurance Corporation Sign Memorandum of Understanding on Infrastructure Financing Co-operation
  • Cayman Islands Launches Public Consultation on Amendment to Securities Law
  • Privacy Commissioner for Personal Data, Hong Kong Releases Shopping Mall Membership Programs Compliance Checks Report
  • SIX Swiss Exchange and Shanghai Stock Exchange Sign an Updated Memorandum of Understanding
  • Shanghai Stock Exchange Releases its 2018 Social Responsibility Report
  • Shenzhen Stock Exchange and Stock Exchange of Thailand Sign Memorandum of Understanding on SME Capital Market Service

 FS_Regulatory_Update_JML_20190426

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