European Securities and Markets Authority’s Focus on New International Financial Reporting Standards and Non-financial Information in Issuers’ 2018 Annual Reports
Financial Conduct Authority of United Kingdom Fines Liberty Mutual Insurance Europe SE £5.2 Million for Failures in its Oversight of Mobile Phone Insurance Claims and Complaints Handling
Hong Kong Monetary Authority and Monetary Authority of Macao Jointly Promote the Enhanced Competency Framework for Banking Practitioners in Macao
Hong Kong Monetary Authority’s Launch of eTradeConnect and the Collaboration with we.trade
Hong Kong Monetary Authority Promotes in Tokyo Hong Kong’s Leading Platform as an International Financial Center and Gateway of China
Hong Kong Monetary Authority Strengthening the Verification Requirements for Electronic Wallets Setting Up Direct Debit Authorizations
GEM Listing Committee of The Stock Exchange of Hong Kong Limited Censures Sino Splendid Holdings Limited for Breaching the GEM Listing Rules and Censures or Criticizes a Number of its Current Directors for Breaching the Director’s Undertaking
Hong Kong Insurance Authority Consults the Public on Proposed Guideline on Pecuniary Penalties for Licensed Insurance Intermediaries
Hong Kong Insurance Authority Consults on the Maximum Number of Insurers to be Represented by a Licensed Individual Agent or Agency
Monetary Authority of Singapore and China Securities Regulatory Enhance Capital Markets Cooperation
Inaugural Singapore-Chongqing Financial Summit Unlocks Opportunities for Regional Financial and Infrastructure Connectivity
Hong Kong Privacy Commissioner for Personal Data Expresses Serious Concern on Cathay Pacific Airways Data Breach Incident
Hong Kong Privacy Commissioner for Personal Data Releases Research Report to Advocate Respect and Beneficial and Fair Data Ethics Stewardship Management Value and Models
U.S. Securities and Exchange Commission Charges Family Friend of Former Investment Banker with Insider Trading
U.S. Securities and Exchange Commission Charges Investment Adviser with Running US$3.9 Million Fraud
Citibank N.A. Pays More Than US$38 Million to Settle U.S. Securities and Exchange Commission’s Charges of Improper Handling of “Pre-released” American Depositary Receipts
The Listing Committee of The Stock Exchange of Hong Kong Limited Censures NNK Group Limited and a Number of its Current and Former Directors for Breaching the Listing Rules and/or the Director’s Undertaking for Failing to Make Proper Disclosure in Prospectus
The Stock Exchange of Hong Kong Limited’s Announcement in Relation to Cancellation of Listing of China Annual Healthcare Limited
The Stock Exchange of Hong Kong Limited’s Announcement in Relation to Cancellation of Listing of Han Tang International Holdings Limited
Hong Kong Companies Registry Issues Circular on Translation and Certification of Documents under the Companies Ordinance
Securities and Futures Commission of Hong Kong Concludes Consultation on Amendments to Anti-money Laundering and Counter-financing of Terrorism Guidelines
Hong Kong Court of Final Appeal Allows Securities and Futures Commission’s Appeal against Market Misconduct Tribunal’s Decision Regarding Insider Dealing in Asia Telemedia Limited Shares
The Securities and Futures Commission of Hong Kong Concludes Further Consultation on Financial Resources Rules
Indonesia and Singapore Strengthen Cooperation in FinTech
The Securities and Futures Commission of Hong Kong Encourages the Public to Report Fraud and Misconduct
Shenzhen Stock Exchange Signs Strategic Cooperation Agreement to Facilitate Sino-Norwegian Cooperation on Technological Innovation
Shenzhen Stock Exchange Signs Memorandums of Understanding with Moscow Exchange and Warsaw Stock Exchange
Notice on Public Consultation for the Interim Measures Regarding the Listing and Trading of Depository Receipts under the Stock Connect Scheme between Shanghai Stock Exchange and London Stock Exchange
Financial Conduct Authority of the United Kingdom Opens a Discussion on the Impact of Climate Change and Green Finance on Financial Services
U.S. Securities and Exchange Commission Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls
U.S. Securities and Exchange Commission Launches New Strategic Hub for Innovation and Financial Technology
U.S. Securities and Exchange Commission Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers
Highlights of the Speech by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of the Hong Kong Securities and Futures Commission, at 2018 Refinitiv Pan Asian Regulatory Summit on Addressing Misconduct in Capital Markets
Hong Kong Securities and Futures Commission Concludes Consultation on the Offline Sale of Complex Products
Hong Kong Securities and Futures Commission Issues Circular to Remind Intermediaries Use of “Nominees” and “Warehousing” Arrangements in Market and Corporate Misconduct
Hong Kong Securities and Futures Commission Froze the Assets of An Unnamed Chairman of a Listed Company on Suspicion of Fraud
Hong Kong Securities and Futures Commission and the Financial Conduct Authority of the United Kingdom Sign Memorandum of Understanding on United Kingdom-Hong Kong Mutual Recognition of Funds
U.S. Securities and Exchange Commission Obtains Final Judgment Against Former Nomura Securities International’s Residential Mortgage Backed Securities Trading Supervisor
Elon Musk Settles U.S. Securities and Exchange Commission Fraud Charges; Tesla Charged with and Resolves Securities Law Charge
China’s Ministry of Finance Issues Renminbi Sovereign Bonds through Central Moneymarkets Unit of Hong Kong Monetary Authority
U.S. Securities and Exchange Commission Charges Stryker Corporation A Second Time for Foreign Corrupt Practices Act Violations
Credit Suisse Securities (USA) LLC Agrees to Pay US$10 Million to Settle U.S. Securities and Exchange Commission’s Charges Related to Handling of Retail Customer Orders
Singapore Exchange Launches New FTSE ST Singapore Shariah Index
Hong Kong Insurance Authority Consults on Proposed Guidelines on (i) “Fit and Proper” Criteria and (ii) Continuing Professional Development Requirements for Licensed Insurance Intermediaries
Monetary Authority of Singapore Issues Guidelines to Facilitate Provision of Digital Advisory Services
Monetary Authority of Singapore’s Cyber Security Advisory Panel Proposes Ways to Enhance Financial Sector Cyber Resilience
Financial Conduct Authority of the United Kingdom Fines Tesco Bank £16.4m for Failures in 2016 Cyber Attack
Highlights of the Speech by Mr. Fang Xinghai, Vice Chairman of China Securities Regulatory Commission, at the FTSE Russell 2018 China A Share Evaluation Results Press Release and Seminar
Hong Kong Monetary Authority Launches Faster Payment System
China’s Amendments to the Individual Income Tax Law and Its Implication for Hong Kong
The Stock Exchange of Hong Kong Limited Issues Consultation Paper on Proposal relating to Trading Suspension of Listed Issuers with Disclaimer or Adverse Audit Opinion on Financial Statements
U.S. Securities and Exchange Commission Charges Biopharmaceutical Company, Executives with Misleading Investors about Cancer Drug
U.S. Securities and Exchange Commission Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
Hong Kong Securities and Futures Commission Reprimands and Fines Huatai Financial Holdings (Hong Kong) Limited HK$800,000 Over Naked Short Selling
Hong Kong Securities and Futures Commission Bans Ngo Wing Chun for Misappropriation of Customer Data upon Change of Employment
Highlights of the Speech by Mr Ashley Alder, Chief Executive Officer of the Hong Kong Securities & Futures Commission at Hong Kong Investment Funds Association Luncheon with Updates on the Commission’s Asset Management Strategy for Hong Kong
Highlights of the Speech by Mr Carlson Tong, Chairman of the Hong Kong Securities & Futures Commission at Hong Kong General Chamber of Commerce Seminar with Updates on the Commission’s New Regulatory Approach to Tackle Corporate Governance Problems And Listed Company Misconduct
Hong Kong Securities and Futures Commission Announces Green Finance Strategic Framework
Singapore Exchange Proposes New “Trade At Close” Session for Securities Market
Petrobras Reaches Settlement with U.S. Securities and Exchange Commission for Misleading Investors
Hong Kong Court of Final Appeal Dismisses Moody’s Appeal Against the Determination of the Securities and Futures Appeals Tribunal on March 31, 2016 which Affirmed the Securities and Futures Commission’s Decision to Reprimand and Fine Moody’s for Breaching the Code of Conduct in its Preparation and Publication of a Special Comment Report in 2011
Hong Kong Securities and Futures Commission Issues Reminder to Intermediaries about Compliance with Notification Requirement under Rule 12.5 of the Code of Conduct
The Hong Kong Monetary Authority Designates Two Retail Payment Systems
Hong Kong Exchanges and Clearing Limited’s US Dollar Gold Futures Receive Approval in Taiwan
The China Securities Regulatory Commission and Relevant Departments Propose to Improve the Share Repurchase System of Listed Companies via Consultation on Amendment to the Company Law of the People’s Republic of China
The Monetary Authority of Singapore Consults on Measures to Strengthen Cyber Resilience of Financial Institutions
U.S. Securities Exchange Commission Awards More Than US$54 Million to Two Whistleblowers
Highlights of the Speech by Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities and Futures Commission at Hong Kong Chinese Enterprises Association Seminar with Update on the Commission’s Supervision Approach
Hong Kong Financial Services Development Council’s Response to the Securities and Futures Commission’s Consultation on Anti-Money Laundering and Counter-Terrorist Financing Guidelines
Launch of Investor Identification System for Northbound Trading under Mainland-Hong Kong Stock Connect
Hong Kong Exchanges and Clearing Limited Announces Details of Launch of the Investor Identification Model for Northbound Trading through its Mutual Stock Market Access Program with the Exchanges in Shanghai and Shenzhen on September 17, 2018
The Hong Kong Securities and Futures Commission Reprimands and Fines HPI Forex Limited HK$2 Million for Regulatory Breaches
The Stock Exchange of Hong Kong Limited Publishes Frequently Asked Questions on Listing Regime for Companies from Emerging and Innovative Sectors
Hong Kong Securities and Futures Commission’s Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter Financing of Terrorism (AML/CFT) – AML/CFT Measures and Controls Inspection Findings
The Stock Exchange of Hong Kong Limited Publishes Conclusions from its Consultation on Exempting Aircraft Leasing Activities from its Notifiable Transactions Rules
Hong Kong Securities and Futures Commission Bans Fonia Kwok Lai Kwan for 12 Months Following her Conviction for Unlicensed Asset Management
Hong Kong Monetary Authority Welcomes the Full Implementation of Delivery versus Payment (DvP) Settlement in Bond Connect
China Securities Regulatory Commission Publishes (1) Decision on Amending Administrative Measures for Securities Registration and Settlement and (2) Decision on Amending Measures for the Administration of Equity Incentives of Listed Companies
China Securities Regulatory Commission Launches Administrative Measures for Foreign-Funded Futures Companies
Monetary Authority of Singapore and Singapore Exchange Partner Anquan, Deloitte and Nasdaq to Harness Blockchain Technology for Settlement of Tokenized Assets
U.S. Securities and Exchange Commission Adopts Amendments to Simplify and Update Disclosure Requirements
Merrill Lynch Settles U.S. Securities and Exchange Commission’s Charges of Undisclosed Conflict in Advisory Decision
Hong Kong Insurance Authority and China Banking and Insurance Regulatory Commission Implement Preferential Treatment to Promote the Development of Hong Kong Reinsurance Industry
Circular on Hong Kong Securities and Futures Commission Disciplinary Fining Guidelines
The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Review Structure in Relation to Listing Committee Decisions
Hong Kong Monetary Authority Reprimands and Fines Shanghai Commercial Bank Limited for Contraventions of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
Hong Kong Securities and Futures Commission Bans Cham Nga Yin for Life
Hong Kong Market Misconduct Tribunal Finds China AU Group Holdings Limited’s Former CEO and Related Persons Culpable of Market Manipulation
Singapore Exchange Welcomes the Listing of Asia’s First Infrastructure Project Finance Securitization Notes
Monetary Authority of Singapore Accepts Recommendations from Corporate Governance Council and Issues Revised Code of Corporate Governance
U.S. Securities and Exchange Commission Charges Mizuho Securities USA LLC for Failure to Safeguard Customer Information
Highlights of the Speech by the Secretary for Financial Services and the Treasury Bureau of Hong Kong at Asia Pacific Loan Market Association Annual Syndicated Loan Market Conference
Highlights of the Speech by the Secretary for Financial Services and the Treasury Bureau of Hong Kong at 2018 Annual Conference of In-House Lawyers
Highlights of the Speech by the Secretary for Financial Services and the Treasury Bureau of Hong Kong at 17th Hong Kong Venture Capital and Private Equity Association China Private Equity Summit
Hong Kong Monetary Authority Launches Open Application Programming Interface Framework for the Banking Sector
The Listing Committee of The Stock Exchange of Hong Kong Limited Criticizes Sre Group Limited for Breaching the Exchange Listing Rules, and Censures A Former Executive Director and Chairman, Mr. Shi Jian, for Breaching the Exchange Listing Rules and The Director’s Undertaking
U.S. Securities and Exchange Commission Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
U.S. Securities and Exchange Commission Charges Deutsche Bank AG for Improper Handling of American Depositary Receipts Singapore Exchange Proposes to Enhance Default Management Capabilities of Derivatives and Securities Clearing Houses
U.S. Securities and Exchange Commission Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems
Singapore Exchange Enables Listing at Earlier Development Stage for Mineral, Oil and Gas Companies
Singapore Exchange Regulation Pte. Ltd. Reprimands Dapai International Holdings Co. Ltd., Executive Chairman Chen Xizhong, Former Chief Executive Officer Chen Yong and Former Chief Financial Officer Lawrence Lam Pong Sui for Breaches of Listing Rules and Delisted the Company
Singapore Securities Industry Council Consults on Amendments to Singapore Code on Take-Overs and Mergers to Clarify its Application to Companies with a Dual Class Share Structure
Hong Kong Securities and Futures Commission Implements Open-ended Fund Companies Regime
Hong Kong Securities and Futures Commission Publicly Censures Liang Guosheng and Imposes A Cold-Shoulder Order for Breach of the Takeovers Code
The Stock Exchange of Hong Kong Limited Publishes Corporate Governance Code Consultation Conclusions and Guidance for Boards and Directors
Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Internal Models Approach for Market Risk
Hong Kong Securities and Futures Commission Cautions Against Disguised Margin Financing
Hong Kong Securities and Futures Commission Consults on Amendments to Anti-money Laundering and Counter-terrorist Financing Guidelines
Hong Kong Securities and Futures Commission Reprimands and Fines CCB International Capital Limited HK$24 Million for Sponsor Failures
Hong Kong Securities and Futures Commission Reprimands and Fines Citigroup Global Markets Asia Limited HK$4 Million for Alternative Liquidity Pool FailuresHong Kong Securities and Futures Commission Amends the Codes on Takeovers and Mergers and Share Buy-backs
Hong Kong Securities and Futures Commission Reprimands and Fines HSBC Broking Securities (Asia) Limited HK$9.6 Million for Regulatory Breaches Over Bond Sale
Hong Kong Exchanges and Clearing Limited and Mainland Exchanges Agree on Adjusting Inclusion Arrangements For Eligible Securities Under Stock Connect’s Southbound Trading
The Stock Exchange of Hong Kong Limited Updates and Streamlines Some of Its Guidance Materials Relating to Guidance Letters and Frequently Asked Questions
The Stock Exchange of Hong Kong Limited Publishes Guide on Listing New Structed Products
HKMC Annuity Limited Launches Annuity Plan
Hong Kong Companies Registry Announces Introduction of Open-ended Fund Company Structure
US Securities and Exchange Commission Charges Credit Suisse Group AG with Foreign Corrupt Practices Act Violations
US Securities and Exchange Commission Charges Attorney and Law Firm Business Manager with Illegal Sales of UBI Blockchain Internet Stock
The Bank of England, Prudential Regulation Authority and Financial Conduct Authority Publish Discussion Paper on Building the Financial Sector’s Operational Resilience
Singapore Exchange Proposes to Recalibrate Financial and Capital Requirements of Bank and Remote Members
SIX Swiss Exchange Launches Full End-to-end and Fully Integrated Digital Asset Trading, Settlement and Custody Service
The Stock Exchange of Hong Kong Limited Issues Guidance Letter to Facilitate IPOs of Internet-related Companies
The Stock Exchange of Hong Kong Limited Seeks Views on Proposed Rule Changes Relating to Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments
The UK Financial Services and Markets Act 2000 (Prospectus and Markets in Financial Instruments) Regulations 2018 Come into Effect
US Securities and Exchange Commission Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
US Securities and Exchange Commission’s Chief Accountant Remarks on “Advancing the Purpose and Promise of Those Involved in Financial Reporting”
Hong Kong Securities and Futures Commission Commences Market Misconduct Tribunal Proceedings Against China Forestry’s Former Chairman and CEO
DBA Telecommunication (Asia) Holdings Limited Convicted for Making False or Misleading Statement in Results Announcement upon Prosecution Brought by Hong Kong Securities and Futures Commission under Section 384 of the Securities and Futures Ordinance
Hong Kong Monetary Authority and Securities and Futures Commission Conclude Consultation on Further Enhancements to the OTC Derivatives Regulatory Regime
Singapore Exchange Launches Rules for the Listing of Companies with Dual Class Shares
China Shenzhen Stock Exchange Pays Heightened Attention to the Risk of Stock Pledges of Shenzhen-listed Companies
Hong Kong Monetary Authority’s Revised Guideline on Authorization of Virtual Banks
Hong Kong Listing Rules Amended to Make Delisting Framework More Effective
Hong Kong Securities and Futures Commission Reprimands and Fines Hang Seng Investment Management Limited HK$3 Million for Regulatory Breaches over Funds’ Cash Management
Hong Kong Stock Exchange Publishes Results on its Review of Listed Issuers’ Financial Reports
The People’s Bank of China has Decided to Expand the Scope of Medium-term Lending Facility Collaterals to Include, Among Others, High-quality Small and Micro Enterprise Loans and Green Loans
China’s Guiding Opinions on Further Regulating Services Concerning Sale and Redemption of Money Market Funds on the Internet
European Securities and Markets Authority Issues Final Guidelines on MiFID II Suitability Requirements
Singapore and India Advance in FinTech Cooperation
Monetary Authority of Singapore Proposes to Simplify Rules to Improve Business Flexibility for Market Operators
Hong Kong Stock Exchange Reviews Listed Issuers’ Implementation of ESG Reporting Guide
Hong Kong’s Securities and Futures Commission Concludes Consultation on Prescribing Professional Investors
Hong Kong’s Securities and Futures Commission Concludes Consultation on New Securities and Futures (Open-ended Fund Companies) Rules and Code on Open-ended Fund Companies
Hong Kong’s Securities and Futures Commission Concludes Consultation on Disclosure Requirements for Discretionary Accounts to Make it Easier for Investors to Compare Benefits Which Discretionary Account Managers will Receive from Product Issuers
Hong Kong’s Securities and Futures Commission Publishes Second Issue of “Regulatory Bulletin: Listed Corporations” on its Real-time Regulation Over Securities Issuances
The European Union’s General Data Protection Regulation Came into Force on May 25, 2018 – How Would This Affect Businesses Outside the European Union?
Brett Redfearn, U.S. SEC’s Director, Division of Trading and Markets, Comments at the FINRA Annual Conference on “How Should a Financial Professional Provide Advice in the Face of Conflicts?”
The Securities and Exchange Board of India Proposes “Group” Governance Committee for Implementing Effective Corporate Governance Throughout a Listed Group of Companies
Hong Kong’s New Era of Economic Integrity Based Supervision of Capital Raising
Hong Kong Monetary Authority Issues Guidelines on Application of Financial Technology in Personal Lending Business
Hong Kong Securities and Futures Commission Issues Circular to Intermediaries Regarding Client Orders Received Through Instant Messaging
Hong Kong Launches Pilot Bond Grant Scheme – The Significance of Developing the Bond Market and The Hong Kong Monetary Authority’s Efforts
Does Hong Kong Fall Behind in the Development of Sharing Economy?
Altaba, Formerly Known As Yahoo!, Agreed to Pay US$35 Million to Settle Charges by U.S. Securities Exchange Commission for Failing to Disclose Massive Cybersecurity Breach
Hong Kong’s Listing Regime Enters New Era, Featuring Emerging and Innovative Firms
A Company’s Listing on China National Equities Exchange and Quotations and H Shares Market Made Possible
Hong Kong Stock Exchange Updates Guidance Letter on Initial Public Offering Vetting and Suitability for Listing
Hong Kong Securities and Futures Commission Reprimands and Fines CN Capital Management Limited and Responsible Officers HK$1.2 Million over Regulatory Breaches
Shenzhen Stock Exchange Puts Emphasis on the Supervision of Disclosure to Fight Against Environmental Pollution
Four-time Enlargement of Daily Quota under Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
Opening Remarks by Hong Kong Exchange and Clearing Limited (HKEX) Chief Executive Charles Li At Legislative Council Panel on Financial Affairs
Importance of Responding to Enquiries by the Hong Kong Stock Exchange
“Tips on Buying Insurance” Jointly Published by the Hong Kong Insurance Authority and Investor Education Centre
China to Accelerate the Development of a Quality Banking Industry
Keynote Address by Mr. Ong Ye Kung, Singapore’s Minister for Education (Higher Education and Skills) and Second Minister for Defense at the 12th ISAS International Conference on South Asia on April 6, 2018 – Strengthening Singapore-South Asia Cooperation
U.S. Securities and Exchange Commission Orders Three Investment Advisers to Pay $12 Million to Harmed Clients
Hong Kong Regulators Consult on Further Enhancements to the Over-The-Counter Derivatives Regulatory Regime
The Hong Kong Securities and Futures Commission’s Regulatory Action Halts Initial Coin Offer to Hong Kong Public
The Hong Kong Securities and Futures Commission Identifies Continued Deficiencies in Sponsor Work
Hong Kong’s Requirement for Publication of Full Property Valuation Reports on the Stock Exchange Website When Summary Valuation is Included in Takeovers Code Document
The Hong Kong Securities and Futures Commission Concludes Consultation on Online Platforms and Further Consults on Offline Requirements for Complex Products
Hong Kong Stock Exchange’s Guidance on Why the Exchange Returned Certain Listing Applications (HKEX-LD119-2018)
Hong Kong Stock Exchange’s Guidance on Why the Exchange Returned Certain Listing Applications (HKEX-LD120-2018)
HKMA’s Enhanced Competency Framework on Anti-Money Laundering and Counter-Financing of Terrorism
HKMA’s Implementation Guidance on Securitization Framework under Banking (Capital) Rules
Notice on The Publication of Guidelines for the Employees’ Performance in Banking Financial Institutions Issued by China Banking Regulatory Commission
India’s Changing Financial Landscape
U.S. Securities and Exchange Commission Stops Ponzi-Schemer Targeting Retail Investors and Obtains Preliminary Injunction and Asset Freeze
The Japanese Financial Service Agency’s Summary Points from Strategic Directions and Priorities 2017-2018
China Banking Regulatory Commission’s Opinion on Further Supporting the Innovation of Capital Instruments of Commercial Banks
The Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Sign Addendum to Memorandum of Understanding Governing Listing Matters
Third SFC Regulatory Forum Discusses Hong Kong’s Competitiveness
The Hong Kong Securities and Futures Commission Publicly Criticizes Nomura International (Hong Kong) Limited and Lee Yuen Yee, Annisa for Breaches of the Takeovers Code in Publishing Irregular Research Reports During a Potential Offer
Monetary Authority of Singapore Imposes Anti-Money Laundering and Counter-Terrorist Financing Requirements on the Intermediaries of Virtual Currencies
Monetary Authority of Singapore Promotes Responsible Recruitment in the Financial Advisory Industry