Financial Services Regulatory Update 2021/04/30

  • Monetary Authority of Singapore Sets up Singapore Funds Industry Group Partnering with the Private Sector to Strengthen Singapore’s Fund Management Ecosystem
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Global Token Limited (Stock Code: 8192)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Convoy Global Holdings Limited (Stock Code: 1019)
  • Hong Kong Securities and Futures Commission Revokes IDS Forex HK Limited’s License and Bans its Former Co-CEOs for Life
  • Hong Kong Securities and Futures Commission and Police Conducts Joint Operation Against Listed Company and Senior Executives
  • U.S. Commodity Futures Trading Commission Orders a Man and His Company to Pay Over US$397,000 in Connection with a Digital Assets Solicitation Scheme
  • U.S. Federal Court Orders Owner of Precious Metals Firm to Pay US$1.3 Million to Victims of Fraudulent Precious Metals Scheme
  • U.S. Securities and Exchange Commission Charges Fund Manager and Former Race Car Team Owner with Multimillion Dollar Fraud
  • U.S. Securities and Exchange Commission Obtains Emergency Relief, Charges a Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme
  • Singapore Exchange Welcomes Econ Healthcare (Asia) Limited to Catalist
  • Singapore Exchange and Consumer News and Business Channel Partner to Create Indices Focused on Growth Economies and Sectors of the Future
  • Financial Conduct Authority of the United Kingdom Censures Alsford Page & Gems Limited and Alsford Page & Gems Limited Agrees to Pay Extended Warranty Insurance Customers £399,902
  • Financial Conduct Authority Commences Criminal Proceedings for Fraud and Unauthorised Business
  • Australian Securities and Investments Commission Secures 20-year Ban for Mayfair 101 Director James Mawhinney from Fundraising and Promoting Investment Products
  • Shenzhen Stock Exchange Promotes Performance Explanation Meetings: Over Sixty Percent Annual Report Releasing Listed Companies Issue a Performance Explanation Meeting Notice
  • China Securities Regulatory Commission Strengthens Supervision of System Leavers’ Investment in Proposed Listed Companies
  • China Securities Regulatory Commission and Other Financial Management Authorities Jointly Interviewed Some Online Platform Companies Engaged in Financial Business
  • Shanghai Stock Exchange Revises and Releases Interim Regulation on Application and Recommendation for Issuance and Listing of Enterprises on Shanghai Stock Exchange STAR Market

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