Financial Services Regulatory Update 2019/10/25

  • Highlights of Speech by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities & Futures Commission at Hong Kong Conference 2019: IPO Sponsors and Regulations
  • The Stock Exchange of Hong Kong Limited Announces the Effective Date of Unwinding the Delegated Authority to Approve GEM Listing Applications and Publishes Related Changes to GEM Listing Rules
  • People’s Bank of China and State Administration of Foreign Exchange Further Facilitate Investment by Overseas Institutional Investors in the Interbank Bond Market
  • The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Changgang Dunxin Enterprise Company Limited Cancellation of Listing
  • U.S. Securities and Exchange Commission Halts Alleged US$1.7 Billion Unregistered Digital Token Offering
  • U.S. Securities and Exchange Commission Charges 18 Traders in US$31 Million Stock Manipulation Scheme
  • U.S. Securities and Exchange Commission Proposes Amendments to Exemptive Applications Procedures
  • Financial Conduct Authority of the United Kingdom Sets out Latest Expectations for Firms on Brexit
  • Financial Conduct Authority of United Kingdom Fines Tullett Prebon (Europe) Limited £15.4 million
  • Financial Conduct Authority of United Kingdom Acts to Protect Those Buying Motor Finance
  • Financial Conduct Authority of United Kingdom Announces Future Work on Climate Change and Green Finance
  • European Securities and Markets Authority Adopts Market Abuse Regulation Standards on Supervisory Cooperation
  • Shanghai Stock Exchange Amends, Optimizes Rules on Disciplinary Sanction, Review & Hearing
  • Shanghai Stock Exchange Answers Questions on the Calculation of the Upper Limit of Overseas Securities Institutions’ Domestic Asset Balance under Shanghai-London Stock Connect
  • China Ministry of Natural Resources and Shenzhen Stock Exchange Sign Strategic Cooperation Framework Agreement
  • European Securities and Markets Authority and Australian Securities and Investments Commission Co-operate on Benchmarks
  • Australian Securities and Investments Commission Publishes Report on Effectiveness of Disclosure Reliance
  • Australian Securities and Investments Commission Provides Relief from Financial Adviser Compliance Scheme Obligations
  • Singapore Exchange Regulation Strengthens Cooperation with Singapore Institute of Surveyors and Valuers
  • New initiatives Facilitate Expansion of Financial Institutions in China and Singapore in Each Other’s Markets
  • Monetary Authority of Singapore and China Banking and Insurance Regulatory Commission Enhance Supervisory Cooperation
  • Hong Kong Securities and Futures Commission Commences Insider Dealing Prosecution against a Former Staff of Hong Kong Television Network Limited
  • U.S. Internal Revenue Service Issues Additional Guidance on Tax Treatment involving Virtual Currency
FS_Regulatory_Update_JML_20191025

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