Australian Securities and Investments Commission Approves Australian Financial Complaints Authority Rules Change for Legacy Complaints
Cayman Islands Monetary Authority Introduces Anti-Money Laundering and Countering the Financing of Terrorism Reporting Requirement
Hong Kong Securities and Futures Commission and Independent Commission Against Corruption Search Sponsor Firms
Hong Kong Securities and Futures Commission Publishes Annual Report 2018-19
Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Foreign Exchange Margin Trading on the Mainland and Other Unregulated Activities
Hong Kong Securities and Futures Commission and China Securities Regulatory Commission Reach an Agreement on a Cooperative Framework to Facilitate Coordinated Investigations
Hong Kong Market Misconduct Tribunal Fines Health and Happiness (H&H) International Holdings Ltd and its Chairman HK$3.2 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 Credit Suisse (Hong Kong) Limited and Credit Suisse AG HK$2.8 million for Regulatory Breaches
Hong Kong Securities and Futures Commission Issues Restriction Notices to 9 Brokers to Freeze Client Accounts Linked to Suspected Market Manipulation of China Ding Yi Feng Shares
Hong Kong Securities and Futures Commission Issues Restriction Notices to 14 Brokers to Freeze Client Accounts Linked to Suspected Market Manipulation of Smartac Group China Holdings Limited
Hong Kong Securities and Futures Appeals Tribunal Affirms Hong Kong Securities and Futures Commission Decision to Reprimand and Fine FT Securities Limited HK$3.5 Million
Highlights of Speeches by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities & Futures Commission at Compliance Forum 2019
Highlights of the Speech by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities & Futures Commission at 2019 Risk Hong Kong Conference
Hong Kong Privacy Commissioner for Personal Data Requests Operators of Related Online Social Media Platforms and Discussion Forums to Discharge Their Legal and Corporate Ethical Responsibilities
Australian Securities and Investments Commission Calls on Listed Entities to Focus on Major Financial Reporting Changes and Other Focuses
Australian Securities and Investments Commission Issues Guidance to Financial Service Licensees to Protect against Share Sale Fraud
Australian Securities and Investments Commission Releases Reports on Decisions to Cut Red Tape
Competition Commission of Switzerland Fines 5 Banks CHF 90 Million for Participating in Foreign Exchange Spot Trading Cartel
China Securities Regulatory Commission and Financial Conduct Authority of the United Kingdom Release the Joint Announcement on Shanghai-London Stock Connect
Cyprus Securities and Exchange Commission Adopts European Securities and Markets Authority’s Guidelines on Central Counterparties Conflict of Interest Management
European Securities and Markets Authority Issues Additional Positive Opinions on National Product Intervention Measures Relating to Binary Options
Financial Conduct Authority of the United Kingdom Publishes Final Report in Relation to Royal Bank of Scotland’s Global Restructuring Group
Financial Conduct Authority of the United Kingdom Publishes its First Annual Report on the Perimeter
Financial Conduct Authority of the United Kingdom Fines Bank of Scotland for Failing to Report Suspicions of Fraud
Hong Kong Exchanges and Clearing Limited Welcomes its First Listing of Active ETF
Hong Kong Exchanges and Clearing Limited Publishes Cash Market Transaction Survey 2018
Hong Kong Exchanges and Clearing Limited Announces the Launch of Inline Warrants
Hong Kong Monetary Authority Issues Circular on Feedback from Thematic Review of Authorized Institutions’ Application of AML/CFT Controls in the Small and Medium-sized Enterprises Segment
Hong Kong Monetary Authority Issues Guidance on Currency Conversion Arrangement under Stock Connect
Hong Kong Monetary Authority Announces the Publication of the Global Financial Innovation Network’s “One Year On” Report
Hong Kong Monetary Authority Issues Circular on Observations of Mystery Shopping Program in respect of Account Opening by Authorized Institutions in Hong Kong
The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Heng Xin China Holdings Limited Cancellation of Listing
The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Midas Holdings Limited Proceeding to Third Stage of Delisting Procedures
The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Centron Telecom International Holding Limited (and Together with its Subsidiaries) Proceeding to Third Stage of Delisting Procedures
The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Ding He Mining Holdings Limited Proceeding to Third Stage of Delisting Procedures
International Association of Insurance Supervisors Embarks on New Strategic Direction
China Merchants Bank’s Euro-denominated Bond Launches on Luxembourg Stock Exchange
Singapore and United Kingdom Enhance Cooperation in Data Connectivity, Talent Development, Green Finance and Cybersecurity
Beauty Product Company is Convicted of Direct Marketing Offense Stemming from a Complaint Received by the Office of the Privacy Commissioner for Personal Data, Hong Kong
KPMG LLP Pays US$50 Million Penalty to Settle U.S. Securities and Exchange Commission’s Charges for Illicit Use of Public Company Accounting Oversight Board Data and Cheating on Training Exams
Industrial and Commercial Bank of China Affiliate Pays More Than US$42 Million to Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
Wedbush Securities Inc. Pays More Than US$8.1 Million to Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
U.S. Securities and Exchange Commission Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
U.S. Securities and Exchange Commission, North American Securities Administrators Association and Financial Industry Regulatory Authority Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation
U.S. Securities and Exchange Commission Charges Walmart with Foreign Corrupt Practices Act Violations
Opening Ceremony of Shanghai International Center for Communication and Cooperation between Exchanges Holds