Financial Services Regulatory Update 2020/07/24

  • Hong Kong Court Reiterates Bases to Assist PRC Liquidators in Dealing with Hong Kong Assets – Re Shenzhen Everich Supply Chain Co Ltd [2020] HKCFI 965
  • Hong Kong Securities and Futures Commission Issues Policy Statement Relating to National Security Law
  • Hong Kong Exchanges and Clearing Limited Launches Master Special Segregated Account Service
  • OTC Clearing Hong Kong Limited Launches Clearing Services for HONIA-Based Interest Rate Products
  • The Government of Hong Kong Special Administrative Region welcomes passage of Limited Partnership Fund Bill
  • Financial Conduct Authority of the United Kingdom Seeks Views on Extending the Implementation Deadlines for the Certification Regime and Conduct Rules
  • Monetary Authority of Singapore Proposes New Powers to Enhance Effectiveness in Addressing Financial Sector-Wide Risks
  • The European Securities and Markets Authority Promotes Consistent Application of Prospectus Disclosure Requirements
  • Singapore Exchange Regulation and Nasdaq Announce Regulatory Cooperation to Help Companies Access Capital in Both Jurisdictions
  • The Supreme People’s Court of China Issues the “Minutes of the Forum on the Trial of Bond Disputes by Courts”
  • China Securities Regulatory Commission issues the “No.5 Guidelines for the Supervision of Non-listed Public Companies—Guidelines for the Continuous Supervision of Selected Listed Companies (Trial)” and Five Listed Company Periodic Report Format Guidelines
  • The China Securities Regulatory Commission Takes Over New Times Securities Co., Ltd., Guosheng Securities Co., Ltd., and Guosheng Futures Co., Ltd.
  • China Securities Regulatory Commission Issues the Guidelines on the Side Pocket Mechanism for Publicly Offered Securities Investment Funds (Trial) to Further Enhance the Risk Prevention and Control Capabilities of Publicly Offered Funds
  • Commodity Futures Trading Commission Invalidates Commodity Pool Operator Registration Exemptions for 17 Foreign Entities
  • Commodity Futures Trading Commission Sanctions Two Firms Offering Digital Asset-Based Swaps for Illegal Off-Exchange Trading and Registration Violations
  • Commodity Futures Trading Commission Approves Final Swap Dealer Capital Rule at July 22 Open Meeting and Completes All Required Rule-makings Under Section 731 of the Dodd-Frank Act
  • U.S. Securities and Exchange Commission Adopts Rule Amendments to Provide Investors Using Proxy Voting Advice More Transparent, Accurate and Complete Information
  • U.S. Securities and Exchange Commission Charges Wind Turbine Company and Individuals with Defrauding Investors
  • U.S. Securities and Exchange Commission Files Fraud Charges Against Co-Founder of IIG
  • U.S. Securities and Exchange Commission Charges Financial Advisor with Fraud for Stealing Millions from Investors
  • UBS to Pay US$10 Million for Violating Rules Which Give Priority to Retail Investors in Municipal Offerings
  • U.S. Securities and Exchange Commission Charges Silicon Valley Start-Up and CEO With Defrauding Investors

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