Financial Services Regulatory Update 2019/11/22

  • New Hong Kong Securities and Futures Commission Guidance Addresses Market Misconduct
  • Monetary Authority of Singapore Helps Develop Blockchain-based Prototype for Multi-Currency Payments
  • Hong Kong Securities and Futures Commission Reprimands and Fines UBS AG HK$400 million for overcharging clients and related internal control failures
  • Hong Kong Securities and Futures Commission Bans Ma Sin Chi for Life
  • The Stock Exchange of Hong Kong Limited Issues Frequently Asked Questions on Amendments to Articles of Association
  • Council of the European Union Approves the EU-Singapore Free Trade Agreement
  • Monetary Authority of Singapore Completes its Business sans Borders Phase One Proof-of-Concept
  • Monetary Authority of Singapore Imposes Civil Penalty of SGD11.2 million on UBS for Deceptive Trades by its Client Advisors
  • Singapore Exchange Regulation Explains its Expectations of REITs at IPO Stage
  • Australian Securities and Investments Commission Gives Guidance on Companies’ Whistleblower Policies
  • China Further Utilizes Foreign Investment
  • Shanghai Stock Exchange Answers Questions on Taking Self-regulatory Measures for Information Disclosure Misbehaviors in Application for IPO on SSE STAR Market
  • Shanghai Stock Exchange Solicits Opinions on Business Rules for Refinancing of Companies Listed on SSE STAR Market
  • Shanghai Stock Exchange Answers Questions on Regulating ETF Subscription with Shares
  • Shenzhen Stock Exchange Pushes forward CSI 300 ETF Option Listing in a Steady and Orderly Manner
  • Shenzhen Stock Exchange Oversees ETF Stock Subscription in Strict Compliance with New Provisions on Share Lessening
  • Abu Dhabi Global Market Issues New Employment Regulations and Rules
  • Monetary Authority of Singapore Consults on Proposed Changes to Regulate Payment Token Derivatives Traded on Approved Exchanges
  • The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Fuguiniao Co., Ltd. Cancellation of Listing
  • The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of National Agricultural Holdings Limited Cancellation of Listing
  • U.S. Commodity Futures Trading Commission Orders Proprietary Trading Firm to Pay Record US$67.4 Million for Engaging in a Manipulative and Deceptive Scheme and Spoofing
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