Australian Securities and Investments Commission Commences New Regime for Corporate Whistleblower Protections
Hong Kong Securities and Futures Commission Publishes Statement on the Conduct and Duties of Directors when Considering Corporate Acquisitions or Disposals
Hong Kong Securities and Futures Commission Issues Circular to Intermediaries on Amendments to Paragraph 5.1 of the Code of Conduct
Hong Kong Securities and Futures Commission Issues Circular to Intermediaries on Remote Onboarding of Overseas Individual Clients
Hong Kong Securities and Futures Commission Bans Goldman Sachs (Asia) L.L.C. Former Responsible Officer Tim Leissner for Life
The Ministry of Finance of the People’s Republic of China, the China Securities Regulatory Commission and Hong Kong Securities and Futures Commission Sign Tri-partite Memorandum of Understanding on Audit Working Papers
Hong Kong Securities and Futures Commission Reprimands and Fines Celestial Commodities Limited and Celestial Securities Limited HK$6.3 million for Mishandling Client Money
Hong Kong Securities and Futures Commission Issues Circular to Intermediaries on New Measure to Protect Client Assets
Hong Kong Securities and Futures Commission Publicly Criticizes CM Asset Management (Hongkong) Company Limited for Breaches of Takeovers Code
Hong Kong Monetary Authority and Hong Kong Securities and Futures Commission Issue Joint Consultation Conclusions on Annual Update to the List of Financial Services Providers under the Clearing Obligation for OTC Derivative Transactions
Hong Kong Monetary Authority Welcomes Setting up of a Bank for International Settlements Innovation Hub Center in Hong Kong
Hong Kong Monetary Authority and Autorité de Contrôle Prudentiel et de Résolution Enhance Fintech Collaboration
Hong Kong Monetary Authority Issues Frequent Asked Questions on Reporting Treatment of Transactions Related to Initial Public Offerings
Hong Kong Exchanges and Clearing Limited Completes Acquisition of Ronghui Tongjin Majority Stake
Hong Kong Exchanges and Clearing Limited Expands Closing Auction Session to All Equities and Funds
Hong Kong Exchanges and Clearing Limited Launches USD London Metal Mini Futures in August
The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Flyke International Holdings 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 Rui Feng Group Holdings Company Limited Cancellation of Listing
The Stock Exchange of Hong Kong Limited Announces New Review Structure for Listing Committee Decisions
Insurance Authority of Hong Kong Publishes Consultation Conclusions on the Guideline on Pecuniary Penalty for Licensed Insurance Intermediaries
Hong Kong Competition Commission Takes Renovation Cartel Case to Competition Tribunal
U.S. State Street Bank Settles U.S. Securities and Exchange Commission Charges for Adding Undisclosed Markups on Client Expenses
U.S. Commodity Futures Trading Commission Orders Merrill Lynch Commodities, Inc. to Pay Approximately US$25 Million for Spoofing, Manipulation, and Attempted Manipulation in Precious Metals Futures
Financial Conduct Authority of the United Kingdom, U.S. Securities and Exchange Commission and U.S. Commodity Futures Trading Commission Issue Joint Statement on Opportunistic Strategies in the Credit Derivatives Markets
Financial Conduct Authority of the United Kingdom Confirms Recognition of the Foreign Exchange Global and United Kingdom Money Markets Codes
Financial Conduct Authority of the United Kingdom Launches Review of the Credit Information Market
Financial Conduct Authority of the United Kingdom Proposes Ban on Sale of Crypto-Derivatives to Retail Consumers
Financial Conduct Authority of United Kingdom Confirms Permanent Restrictions on the Sale of Contracts for Difference and Contracts for Difference-like Options to Retail Consumers
European Securities and Markets Authority Issues Opinions on Product Intervention Measures by Germany, Spain, Bulgaria, Denmark, Latvia and Greece and Ceases Renewal the temporary prohibition of Product Intervention Measure
European Securities and Markets Authority Consults on Short-Termism in Financial Markets
European Commission Publishes Guidelines to Improve How Firms Report Climate-related Information and Welcomes Reports on Climate Finance
Monetary Authority of Singapore Will Issue up to Five Digital Bank Licenses
Singapore Exchange Launches Asia’s First Portfolio Compression Service for Listed Derivatives
Shanghai Stock Exchange Launches On-site Supervision of Sponsoring Business for Sci-Tech Innovation Board
Shanghai Stock Exchange and Japan Exchange Group Launch China-Japanese ETF Connectivity
Shenzhen Stock Exchange Improves Capital Market Service Functions and Facilitates the Innovative Development of Small and Medium-sized Enterprises
Shenzhen Stock Exchange Completes the Review of the 2018 Annual Reports on Fixed Income Products
Shenzhen Stock Exchange Completes the Appraisal of Information Disclosure of Listed Companies
Shenzhen Stock Exchange and the Belarusian Currency and Stock Exchange Sign a Memorandum of Understanding
Shenzhen Stock Exchange Continues to Rigorously Implement the Mandatory Delisting Mechanism for Major Violation of Law
Australian Securities and Investments Commission Consults on Proposed Market Integrity Rules for Technological and Operational Resilience
Australian Securities and Investments Commission Consults on New Product Intervention Power Use
Australian Securities and Investments Commission Approves an Updated Banking Code of Practice
Australian Securities and Investments Commission Consults on Relief for Foreign Providers of Funds Management Services to Australian Professional Investors
Australian Securities and Investments Commission Provides New Guidance for Certain Australian Financial Services License Applications
Australian Securities and Investments Commission Restricts iBosses Corporation Limited from Using Disclosure Exemptions for Failing to Lodge Financial Reports
Financial Action Task Force Issues Guidance for a Risk-Based Approach to Virtual Assets and Virtual Asset Service Providers
International Organization of Securities Commissions Urges Authorities to Use Existing Standards to Address Cyber Risk
International Organization of Securities Commissions Examines Liquidity in Corporate Bond Markets under Stressed Conditions
Shanghai Stock Exchange Announces Listing Arrangements for the First Batch of Companies on the Sci-Tech Innovation Board Market
China Issues Notice on the Relevant Requirements for the Application for Recordation and Registration of Foreign Debt Issuance by Local State-owned Enterprises
China Releases 2019 Industry Catalog Encouraging Foreign Investment