The Stock Exchange of Hong Kong Limited Publishes e-Learning Presentation on Notifiable Transaction Rules Reiterating Guidance on Disclosure of Ultimate Beneficial Owners
The Stock Exchange of Hong Kong Limited announces the Cancellation of Listing of Brightoil Petroleum (Holdings) Limited
The Stock Exchange of Hong Kong Limited announces the Cancellation of Listing of China Yu Yian Holdings Limited
Hong Kong Securities and Futures Commission Reprimands and Fines Goldman Sachs (Asia) L.L.C. US$350 million for Serious Regulatory Failures over 1Malaysia Development Berhad’s Bond Offerings
Hong Kong Securities and Futures Commission suspends Sandra Cheung Wing Yi for 12 months
Hong Kong Securities and Futures Commission consults on climate-related risks in funds
U.S. Commodity Futures Trading Commission Enforcement Division Issues Staff Guidance on Recognition of Self-Reporting, Cooperation, and Remediation
U.S. Commodity Futures Trading Commission and the Bank of England Sign New Memorandum of Understanding for Supervision of Cross-Border Clearing Organizations
U.S. Commodity Futures Trading Commission Issues Advisory on Virtual Currency for Futures Commission Merchants
At Joint Open Meeting, the U.S. Commodity Futures Trading Commission and U.S. Securities and Exchange Commission Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining
U.S. Commodity Futures Trading Commission and U.S. Securities and Exchange Commission Chairmen Sign Joint Letter Establishing Pilot Program Relating to “Bad Actor Disqualification” Provisions of Regulations A and D
U.S. Securities and Exchange Commission Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies
U.S. Securities and Exchange Commission Charges Goldman Sachs with FCPA Violations
U.S. Securities and Exchange Commission Obtains Final Judgment Against Kik Interactive For Unregistered Offering
Questions & Answers on Guidelines of Shanghai Stock Exchange No. 2 for the Application of Self-Regulation Rules for Listed Companies – Standards for Implementation of Disciplinary Actions for Listed Companies
Shenzhen Stock Exchange and China SME Development Fund Co., Ltd Deepen Strategic Cooperation to Jointly Improve the Breadth and Depth of Services for Small and Medium Enterprises
Shenzhen Stock Exchange Launches Pilot Program of Credit Protection Certificates to Further Support the Real Economy
Shenzhen Stock Exchange Releases ChiNext Market Technology and Pharmaceutical Indices to Enrich Index Investing Tools for ChiNext Market
Shenzhen Stock Exchange Strictly Monitors Trading of Convertible Bonds and Warns Investors about Trading Risk
Shenzhen Stock Exchanges Releases Lists of Regulation and Service Items to Optimize Regulation, Promote Services and Clarify Expectations
Shenzhen-Hong Kong ETF Connect Successfully Opened, Enhancing the Integration of Financial Markets in the Guangdong-Hong Kong-Macao Greater Bay Area
Financial Conduct Authority of the United Kingdom Welcomes the Financial Services Bill
The Financial Conduct Authority and the Prudential Regulation Authority of the United Kingdom Fine Goldman Sachs International £96.6m for Risk Management Failures in Connection with 1Malaysia Development Berhad
Financial Conduct Authority of the United Kingdom Censures Aviva Plc for Listing and Transparency Rules Breach
Australian Securities and Investments Commission Released Updated Regulatory Guidance for Share Transfers Using s444GA of the Corporations Act
Australian Securities and Investments Commission Restricts Smiles Inclusive Ltd from Issuing a Reduced-content Prospectus
Singapore Exchange Welcomes GSUM-Titanland as Accredited Issue Manager