Financial Services Regulatory Update 2019/09/27

  • Autorité des Marchés Financiers Launches a Public Consultation on the Conditions for Implementing Squeeze-outs and Fairness Opinions in the Context of Public Offers
  • Australian Securities and Investments Commission Makes Product Intervention Order Banning Short Term Lending Model to Protect Consumers from Predatory Lending
  • Canadian Securities Administrators Proposes Eight Initiatives to Reduce Regulatory Burden for Investment Funds
  • European Union Financial Regulators Highlights the Risks as Potential Sources of Instability
  • Financial Conduct Authority of the United Kingdom Steps up Efforts to Ensure Firms are Getting Ready for a No-Deal Brexit
  • Swiss Financial Market Supervisory Authority Publishes ‘Stable Coin’ Guidelines
  • Insurance Authority of Hong Kong Starts Direct Regulation of Insurance Intermediaries
  • East Asia-Pacific Central Banks Publishes Report “Study on the Implications of Financial Benchmark Reforms”
  • Hong Kong Monetary Authority and Bank for International Settlements Sign Operational Agreement on the BIS Innovation Hub Centre in Hong Kong SAR
  • The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Mr Xiang Liang, Former Executive Director of China Environmental Energy Investment Limited for Breaching the Settlement Agreement and the Committee’s Direction
  • The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Pacific Andes International Holdings Limited Cancellation of Listing
  • SmarTone Mobile Communications Limited is Convicted of Direct Marketing Offense Stemming from a Complaint Received by the Office of the Privacy Commissioner for Personal Data, Hong Kong
  • U.S. Securities and Exchange Commission Charges Prudential Subsidiaries for Misleading Funds Generating Tens of Millions in Tax Benefits for Prudential Financial Inc.
  • Three Raymond James Entities Agrees to Pay US$15 Million to Settle U.S. Securities and Exchange Commission Charge for Improperly Charging Retail Investors
  • U.S. Securities and Exchange Commission Charges PricewaterhouseCoopers LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct
  • U.S. Securities and Exchange Commission Adopts New Rules and Amendments under Title VII of Dodd-Frank Act
  • Stock Exchange of Thailand Signs Memorandum of Understanding with Electricity Generating Authority of Thailand to Foster Wholesale Electricity Market
  • Hong Kong Securities and Futures Commission Bans Ye Feng for Life
  • Hong Kong Securities and Futures Commission Obtains Disqualification Order against Former Executive Director of Life Healthcare Group Limited
  • Hong Kong Securities and Futures Commission Commences Market Misconduct Tribunal Proceedings over Alleged Insider Dealing in Meadville Holdings Limited Shares
  • Hong Kong Securities and Futures Commission’s New Guidelines for Securities Margin Financing Activities Will Take Effect on October 4, 2019
  • Shenzhen Stock Exchange and Budapest Stock Exchange Sign a Memorandum of Understanding on Cooperation
  • Shenzhen Stock Exchange Bond Market Steadily Promotes the Securitization of Intellectual Property Rights
  • World Federation of Exchanges Highlights Competitive Issues to European Securities and Markets Authority Regarding Market Data & Consolidated Tape

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