Financial Services Regulatory Update 2020/05/01

  • Hong Kong Securities and Futures Commission Cautions on Crude Oil Futures and ETFs
  • Hong Kong Securities and Futures Commission’s Regulatory Response to COVID-19
  • Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Management of Cybersecurity Risks Associated with Remote Office Arrangements
  • Hong Kong Securities and Futures Commission Reprimands and Fines BOCOM International Securities HK$19.6 Million for Internal Control Failures
  • Hong Kong Securities and Futures Commission Obtains Disqualification Orders against Former Directors of Long Success International (Holdings) Limited
  • Hong Kong Court Sentenced Unlicensed Fund Manager to Community Service
  • Hong Kong Securities and Futures Commission Updates Frequently Asked Questions Relating to Real Estate Investment Trusts
  • Hong Kong Securities and Futures Commission Signs Memorandum of Understanding with Hong Kong Competition Commission
  • The Listing Committee of The Stock Exchange of Hong Kong Limited Criticizes China Ding Yi Feng Holdings Limited (Stock Code: 612), and Censures or Criticizes a Number of Its Former and Current Directors for Breaching the Listing Rules and/or the Director’s Undertaking
  • The Listing Committee of The Stock Exchange of Hong Kong Limited Censures or Criticizes a Number of Former Directors of Champion Technology Holdings Limited (Stock Code: 92) and/or Kantone Holdings Limited (Stock Code: 1059) For Breaching the Listing Rules
  • Hong Kong Exchanges and Clearing Limited Extends Consultation Period for Consultation Paper on Corporate WVR Beneficiaries
  • Hong Kong Exchanges and Clearing Limited to Implement Volatility Control Mechanism First Phase Enhancements on May 11, 2020
  • Officials from Relevant Departments of China Securities Regulatory Commission Answer Questions Regarding Luckin Coffee’s Accounting and Reporting Improprieties
  • U.S. Securities and Exchange Commission Orders Three Self-Reporting Advisory Firms to Reimburse Investors as Part of its Share Class Selection Disclosure Initiative to More Than US$139 Million
  • U.S. Securities and Exchange Commission Files Charges Against Praxsyn Corp. and its CEO for COVID-19 Scam
  • New York Federal Court Orders Defendants to Pay More Than US$595,000 for Forex Solicitation Fraud and Misappropriation
  • Financial Conduct Authority of the United Kingdom Publishes Payment Protection Insurance (PPI) Complaints Deadline Final Report
  • Financial Conduct Authority of the United Kingdom Commences Civil Proceedings Against 24HR Trading Academy Ltd in Relation to Alleged Unauthorized Investment Advisers
  • Australian Securities and Investments Commission Reports on Corporate Finance Regulation – July to December 2019
FS_Regulatory_Update_JML_20200501

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