Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Limited Issue Further Guidance on the Joint Statement in relation to Results Announcements in light of the COVID-19 Pandemic
Hong Kong Exchanges and Clearing Limited Enhances Stock Connect with Planned Launch of Master Special Segregated Account Service for Fund Managers
The Stock Exchange of Hong Kong Limited Publishes Its Latest Listing Committee Report
The Stock Exchange of Hong Kong Limited Launches E-Training and Publishes Guidance Materials on ESG Reporting
The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Great Wall Belt & Road Holdings Limited (Stock Code: 524) for Breaching the Listing Rules
Hong Kong Securities and Futures Commission Bans Chan Tan Lo for 14 Months
The Hong Kong Monetary Authority Announces Countercyclical Capital Buffer for Hong Kong
The Hong Kong Office of the Privacy Commissioner for Personal Data Responds to Media Enquiries about Cathay Pacific Being Fined £500,000 by UK Information Commissioner’s Office
U.S. Securities and Exchange Commission Adopts Investor Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
U.S. Securities and Exchange Commission Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions
U.S. Securities and Exchange Commission Charges Russian National for Defrauding Investors of Over US$26 Million in Phony Certificates of Deposit Scam
China Securities Regulatory Commission Further Relaxes Policies to Facilitate Exit by Venture Capital Fund Shareholders
First Batch of Credit Protection Contract Business for Corporate Bonds for Epidemic Prevention and Control Successfully Launched on Shenzhen Stock Exchange
Shenzhen Stock Exchange Improves Bond Amortization Method to Promote Coordinated Development of the Bond Market
Shanghai Stock Exchange Publishes Q & A on Implementing Registration-based System for Public Issuance of Corporate Bonds
Australian Securities and Investments Commission Releases New Regulatory Framework for Foreign Financial Services Providers Providing Financial Services to Australian Wholesale Clients
Australian Securities and Investments Commission Directs Large Equity Market Participants under the ASIC Market Integrity Rules to Limit the Number of Trades Executed Each Day Until Further Notice to Ensure Equity Market Resiliency
The Stock Exchange of Hong Kong Limited Updates and Streamlines its Guidance Materials
The Stock Exchange of Hong Kong Limited Publishes Frequently Asked Questions on the Joint Statement in Relation to Results Announcements in Light of Travel Restrictions Related to the Severe Respiratory Disease Associated with a Novel Infectious Agent (Joint Statement)
Hong Kong Securities and Futures Commission Issues Quarterly Report
The Listing Committee of the Stock Exchange of Hong Kong Limited Censures Yorkshine Holdings Limited (Previous Stock Code: 1048) for Failing to Seek Auditor’s Agreement Prior to the Publication of Preliminary Announcement of Annual Results and for Failing to Comply with the Relevant Requirements for Disclosable and/or Continuing Connected Transactions, and Censures or Criticizes a Number of Its Former Directors for Breaching the Listing Rules and/or the Director’s Undertaking
HKMC Insurance Limited Introduces Special 100% Loan Guarantee Under the SME Financing Guarantee Scheme
U.S. Securities and Exchange Commission Charges Wells Fargo US$500 Million for Misleading Investors About the Success of Its Largest Business Unit
U.S. Securities and Exchange Commission Charges Wells Fargo in Connection with Investment Recommendation Practices
U.S. Securities and Exchange Commission Charges Cardinal Health with Foreign Corrupt Practices Act Violations
U.S. Securities and Exchange Commission Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies
U.S. Securities and Exchange Commission Amends Financial Disclosure Requirements Applicable to Registered Debt Offerings that Include Credit Enhancements to Improve Disclosure Quality and Encourage Issuers to Conduct Debt Offerings on a Registered Basis
Shenzhen Stock Exchange Revises the Guidelines for the Standard Operation of Listed Companies to Seamlessly Align with the New PRC Securities Law
Shenzhen Stock Exchange Issues Notice on the Corporate Bond Registration-based System to Advance the Reform of the Securities Issuance System
European Securities and Markets Authority Advises the European Commission on C6 Energy Derivatives and Related Obligations under the European Market Infrastructure Regulation
Dentons Europe LLP Ordered by the High Court of Justice in London to Disclose Documents Relating to Ex-client’s Alleged Fraud
Update on the Hong Kong Securities and Futures Commission’s Front-loaded Regulatory Approach
Hong Kong Securities and Futures Commission Reprimands and Fines BMI Securities Limited HK$3.7 million and Suspends its Responsible Officer for Breaches of Anti-money Laundering Regulatory Requirements
Hong Kong Securities and Futures Commission Reprimands and Fines Capital Global Management Limited HK$1.5 million
Hong Kong Court of First Instance Dismisses Challenge to Hong Kong Securities and Futures Commission’s Investigative Powers
The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of Nickel Resources International Holdings Company Limited (Incorporated in the Cayman Islands with limited liability) (Stock Code: 2889)
U.S. Securities and Exchange Commission Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians
U.S. Securities and Exchange Commission Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data
U.S. Securities and Exchange Commission Charges Real Estate Company and Executives with Defrauding Retail Investors, Obtains Emergency Relief
U.S. Securities and Exchange Commission Charges Global Alcohol Producer with Disclosure Failures
Initial Coin Offering Issuer Settles U.S. Securities and Exchange Commission Registration Charges, Agrees to Return Funds and Register Tokens as Securities
Shenzhen Stock Exchange Accelerates the Approval for the Bond Issue Applications of Hubei Enterprises under Emergency – the First Innovative Corporate Bond Supporting Anti-Epidemic Given the Green Light to Issue
Shenzhen Stock Exchange Upgrades Its Distance Training to Meet What the Market Needs
Shanghai Stock Exchange Builds Financial Defense Line to Combat Coronavirus Outbreak
Hong Kong Monetary Authority Convenes Special Teleconference of the Banking Sector SME Lending Coordination Mechanism to Discuss Ways for Banking Industry to Assist Small and Medium-sized Enterprises (SMEs) in Overcoming the Impact of Coronavirus Outbreak
Hong Kong Monetary Authority Issues a Tentative Issuance Schedule for Exchange Fund Bills and Notes for the Coming Quarter of April to June 2020
Hong Kong Insurance Authority Continues to Provide Limited Public Services in View of the Latest Development Related to the Novel Coronavirus
Financial Conduct Authority of the United Kingdom Publishes Annual Sector Views Assessing the Risks and Potential Harm to Consumers in Financial Services Markets and Highlights its Areas of Concern
Australian Securities and Investments Commission Starts a Four-week Consultation on Draft Guidance about the New Best Interests Duty to Help Promote Certainty of New Obligations for Mortgage Brokers
The Monetary Authority of Singapore Welcomes Measures by Financial Institutions to Support Customers Facing the Impact of COVID-19
Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Limited Issue Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent
The Stock Exchange of Hong Kong Limited Publishes Results of Latest Review of Issuers’ Annual Report Disclosure
Shenzhen Stock Exchange Issues Notice on Supporting Listed Companies and Other Market Entities to Combat Novel Coronavirus-caused Pneumonia
Hong Kong Securities and Futures Commission to Commence Proceedings for Suspected Market Manipulation in the Shares of China Ding Yi Feng and Lifts Trading Suspension
Hong Kong Securities and Futures Commission Issues Restriction Notice to a Broker to Freeze Client Accounts Linked to Suspected Market Manipulation
The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Corporate WVR Beneficiaries
U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices
U.S. Securities and Exchange Commission Proposes Amendments to Modernize and Enhance Financial Disclosures
Hong Kong Securities and Futures Commission Highlights Importance of Risk Management
China’s Foreign Investment Law and Implementing Regulations Come into Effect on January 1, 2020
Hong Kong Securities and Futures Commission Suspends Shiu Yau Wah for Five Months
Hong Kong Securities and Futures Commission Bans Christopher Tse for 12 Months
The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of China Animal Healthcare Ltd. (Stock code: 940)
The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of Midas Holdings Limited (in Liquidation in Singapore) (Stock code: 1021)
The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of Ding He Mining Holdings Limited (in liquidation) (Stock code: 705)
Overview of Shenzhen Stock Exchange’s M&A and Reorganization and Regulation Services in 2019
The First Government Bonds in Guangdong Province in 2020 Successfully Issued on Shenzhen Stock Exchange
Overview of the Refinancing Market of Shenzhen Stock Exchange in 2019
Overview of Equity Incentive Plans and Employee Stock Ownership Plans of SZSE-listed Companies in 2019
Shanghai Stock Exchange Reports on Dealing with SSE-listed Companies’ Violations in Information Disclosure in 2019
China’s Ministry of Science and Technology and Shanghai Stock Exchange Sign MOU on Deepening FinTech Integration
The Financial Conduct Authority of the United Kingdom Introduces New Overdraft Rules which Mean 7 out of 10 People will be Better off or See No Change
Hong Kong Securities and Futures Commission Provides Licensing Guidance for Private Equity Firms and Family Offices
OTC Clearing Hong Kong Limited Obtains License From Financial Services Agency of Japan
Hong Kong Securities and Futures Commission Lifts Suspension of UBS Securities Hong Kong Limited Acting as Sponsor
U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
Shenzhen Stock Exchange Holds the “Media Visiting SZSE” Exchange Meeting on Regulation of Listed Companies
China Securities Depository and Clearing Corporation Limited and Shenzhen Stock Exchange Jointly Issues the Implementation Rules for H-shares “Full Circulation” Business
Shenzhen Stock Exchange Issues the CNI Dhaka Selected Index to Promote the Deepening Cooperation Between China-Bangladesh Capital Markets
Shenzhen Stock Exchange Issues the CNI Nanshan 50 Index
Summary of Disciplinary Actions of Shenzhen Stock Exchange in 2019
Shenzhen Stock Exchange Holds the 2019 Bond Market Regulation Symposium
Shenzhen Stock Exchange Holds the Symposium on ETF Market Development in 2020
New Market Surveillance System of Shanghai Stock Exchange Put into Use
Financial Conduct Authority of the United Kingdom Proposes to Reform the Easy Access Cash Savings Market to Help Customers Get Better Rates for Cash Savings
Australian Securities and Investments Commission Encourages Fair and Effective Insurance Claims Handling for People Affected by the Bushfires – Warns against Unscrupulous “Service Providers”
Hong Kong Securities and Futures Commission Proposes Changes to the Open-ended Fund Companies Regime
Launch of Investor Identification for Southbound Trading under Stock Connect
Hong Kong Securities and Futures Commission Reprimands and Fines Adamas Asset Management (HK) Limited HK$2.5 Million
Hong Kong Securities and Futures Commission Reprimands and Fines FIL Investment Management (Hong Kong) Limited HK$3.5 Million for Regulatory Breaches
Hong Kong Securities and Futures Commission Publicly Censures CLSA Limited, CITIC Securities Brokerage (HK) Limited, Beijing Enterprises Holdings Limited and Their Representatives for Breaching the Code on Share Buy-backs
The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Ding He Mining Holdings Limited (Stock Code 705) and a Number of Its Current Directors for Breaching the Listing Rules and/or the Director’s Undertaking
The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Mr. Hu Guo An, Former Executive Director of Future Bright Mining Holdings Limited (Stock Code: 2212), for Breaching the Listing Rules and the Director’s Undertaking
Hong Kong Monetary Authority Issues Report on Artificial Intelligence (AI) Application in Banking
Hong Kong Monetary Authority Completes Designation of Domestic Systemically Important Authorized Institutions
International Monetary Fund Acknowledges Hong Kong’s Robust Policy Frameworks and Ample Buffers for Addressing Economic Challenges and Safeguarding Financial Stability
U.S. Securities and Exchange Commission Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules
Xinjiang Production and Construction Corps Bond Debuts on the Exchange Market of Shenzhen Stock Exchange
CSI 300 ETF Option Successfully Listed on Shenzhen Stock Exchange
Shenzhen Stock Exchange and the Ministry of Industry and Information Technology Sign the Strategic Cooperation Agreement on the Listing Cultivation of High-quality Small and Medium-sized Enterprises
Australian Securities and Investments Commission Comments on Environmental Group’s Amendments of its Acquisition Accounting, Emphasizing on the Quality of Financial Reporting