Financial Services Regulatory Update 2020/09/18

  • Monetary Authority of Singapore Issues Guidelines to Strengthen Culture of Responsibility and Ethical Behavior in the Financial Industry
  • The Stock Exchange of Hong Kong Limited Announcements the Cancellation of Listing of Hong Kong Life Sciences and Technologies Group Limited
  • Hong Kong Securities and Futures Commission Commences Proceedings Against Tianhe Chemicals Group Limited and Its Executive Director for Defective Prospectus and to Seek Compensation Orders for Investors
  • Changes to the Open-ended Fund Companies Regime Take Effect on 11 September 2020
  • Hong Kong Securities and Futures Commission Bans Fabian Shin Yick for 20 Months over IPO Sponsor Failures
  • Hong Kong Securities and Futures Commission Commences Disciplinary Proceedings Against Ngai Lai Ha for Alleged Breach of Takeovers Code
  • Hong Kong Securities and Futures Commission Reprimands and Fines the Bank of East Asia, Limited $4.2 Million for Regulatory Breaches
  • Victims of New York Ponzi Scheme Recover Over US$1 Billion Following Enforcement Action of the U.S. Commodity Futures Trading Commission
  • U.S. Commodity Futures Trading Commission Charges 4 Men in Fraudulent Digital Asset Scheme
  • U.S. Commodity Futures Trading Commission Issues Guidance on Factors Used in Evaluating Corporate Compliance Programs in Connection with Enforcement Matters
  • U.S. Securities and Exchange Commission Adopts Amendments to Enhance Retail Investor Protections and Modernize the Rule Governing Quotations for Over-the-Counter Securities
  • U.S. Securities and Exchange Commission Modernizes Disclosures for Banking Registrants
  • U.S. Securities and Exchange Commission Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs
  • U.S. Securities and Exchange Commission Charges Charter School Operator and its Former President With Fraudulent Municipal Bond Offering
  • Shanghai Stock Exchange Vigorously Streamlines and Optimizes the Continuous Regulatory System of Listed Companies
  • Shenzhen Stock Exchange Announces 2019 Appraisal Results of Information Disclosure of Listed Companies and Releases the Revised Measures on the Appraisal of Information Disclosure of Listed Companies
  • Shenzhen Stock Exchange Closely Monitors Trading of Xin Jiang TianShan Animal Husbandry Bio-engineering Co., Ltd and Advises Small and Medium Investors to be Rational
  • Shenzhen Stock Exchange Requires Xin Jiang TianShan Animal Husbandry Bio-engineering Co., Ltd to Suspend Trading Again for Inspection, Striving to Strengthen the Supervision of Speculation on Small-cap Stocks and Under-performing Stocks
  • China Securities Regulatory Commission: Transferring Suspected Securities Crime Cases of Zhangzidao Group Co., Ltd and Its Related Parties to Public Security Organs According to Law
  • Shenzhen Stock Exchange Signs Strategic Cooperation Framework Agreement with Chongqing Municipality to Actively Serve Chongqing in Building an International Financial Center in the Landlocked Area
  • All SGX-listed Issuers Can Hold General Meetings by Electronic Means till June 30, 2021
  • Singapore Exchange Wins “Best Exchange for FX” at FX Markets e-FX Awards 2020
  • Singapore Exchange Welcomes the World’s Largest Chinese Pure Government Bond ETF Issued by CSOP Asset Management
FS_Regulatory_Update_JML_20200918

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