Financial Services Regulatory Update 2021/05/28

  • The Stock Exchange Hong Kong Limited Publishes Consultation Conclusions on (i) The Main Board Profit Requirement; and (ii) Review of Listing Rules Relating to Disciplinary Powers and Sanctions on the Same Day as it Publishes a Joint Statement with the Hong Kong Securities and Futures Commission on IPO-related Misconduct
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Seven Former Directors of Huiyin Holdings Group Limited (Stock Code: 1178)
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Tech Pro Technology Development Limited (Delisted, Previous Stock Code: 3823) and Seven of its Former Directors
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Long Well International Holdings Limited (Stock Code: 850)
  • U.S. Commodity Futures Trading Commission Orders a Firm to Pay US$500,000 for Wash Sales
  • U.S. Securities and Exchange Commission Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index
  • U.S. Securities and Exchange Commission Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
  • Singapore Exchange Regulation to Continue to Suspend Entry into Issuers’ Watch-list
  • The Securities and Futures Fintech Research and Development Center (Shenzhen) Holds 2020 Closing Report and 2021 Opening Report Meeting
  • Shenzhen Stock Exchange Holds a Forum on Bond Regulation: Improving Information Disclosure Quality and Guarding against Risks
  • Shenzhen Stock Exchange Releases the 2020 Survey Report on Individual Investors
  • Shenzhen Stock Exchange’s First Publicly Offered Infrastructure REITs Approved by CSRC for Registration
  • The Financial Conduct Authority of the United Kingdom Announces Proposals to Stop the Practice of ‘Claims Management Phoenixing’, by Banning Claims Management Companies (CMCs) from Managing Financial Services Compensation Scheme (FSCS) Claims Where They Have a Relevant Connection to the Claim
  • Australian Securities and Investments Commission Sues AMP for Charging Deceased Customers
FS_Regulatory_Update_JML_20210528

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