- SEHK Launches Director Training Webcast on IPOs
- HKMA’s Amendments to “Guideline on Anti-Money Laundering and Counter-Terrorist Financing”
- Hong Kong SFC’s Enforcement Priorities for 2018
- Hong Kong Court Orders Titan’s Former Senior Executive and His Mother to Make Payments to Investors Over Insider Dealing in Titan Shares
- Hong Kong SFC Obtains Disqualification and Compensation Orders Against Former Chairman and Directors of Starlight Culture Entertainment Group
- SEHK’s Consultation Paper Seeking Public Feedback on Proposed New Rules to Expand Hong Kong’s Listing Regime for Emerging and Innovative Companies
- New Hong Kong Requirements for Companies to Keep Significant Controllers Registers Commence Operation
- New Hong Kong Licensing Regime for Trust or Company Service Providers Commences Operation
- Notice of China Insurance Regulatory Commission Regarding the Issuance and Publication of Guideline Against Insurance Fraud
- Singapore’s MAS Proposes Regulations on the Trading of OTC Derivatives in Organized Markets
- U.S. SEC Charges Former Bitcoin-Denominated Exchange and Operator With Fraud
Category: Publications
Hong Kong Licensed Corporations Alert 2018/02/28
Re-positioning Hong Kong’s Stock Markets
Financial Services Regulatory Update 2018/02/15
- Hong Kong Monetary Authority’s Revised Guideline on Authorization of Virtual Banks
- Hong Kong Monetary Authority’s Circular on Distribution of Fixed Income and Structured Products
- Hong Kong Court Orders Qunxing and Former Directors to Compensate Investors Over Disclosure of False or Misleading Information
- Hong Kong’s Standing Committee on Company Law Reform Issued its Annual Report
- Hong Kong Securities and Futures Commission Reprimands and Fines Credit Suisse (Hong Kong) Limited, Credit Suisse Securities (Hong Kong) Limited and Credit Suisse AG $39.3 million for Regulatory Breaches
- Shenzhen Stock Exchange Optimizing Shareholder Information Disclosure Channels and Deepening Capital Market Service
- The State Council Information Office of the People’s Republic of China Held Press Conference on Judicial Administration Reform and Other Issues
- Regulations on Insurance Brokers Published by China Insurance Regulatory Commission
- The 2018 Work Conference of People’s Bank of China in Beijing
- U.S. SEC’s Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
New Pricing Flexibility for Initial Public Offerings in Hong Kong
Financial Services Regulatory Update 2018/02/02
- HKEX Lays Out Key Plans for 2018
- SEHK Publishes Guidance Letters on Pricing Flexibility for IPOs and Placing Tranche Reallocation in IPOs
- Hong Kong SFC’s Circular to Licensed Corporations on Best Execution
- Hong Kong SFC Identifies Compliance Failures in the Distribution of Fixed-income and Structured Products
- China Securities Regulatory Commission: Pay Close Attention to Outstanding Issues of Speculation of Highly-priced Shares and Concept Companies’ Shares
- China Securities Regulatory Commission Will Adopt Supervision Measures Against Six Securities Firms and Three Fund Companies
- Eight Ministries of China Jointly issued the Guiding Opinions on Improving and Strengthening Marine Economic Development in Financial Services
- Seven Ministries of China Jointly Issued a Circular to Support All Types of Enterprises to Carry Out Market-Oriented Debt-to-Equity Conversion
- U.S. Securities and Exchange Commission Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices
Financial Services Regulatory Update 2018/01/19
Financial Services Regulatory Update 2018/01/19
- China to Step Up Oversight Over the Banking Industry
- Singapore Corporate Governance Council Launches Public Consultation to Strengthen Corporate Governance
- CSRC to Deepen Reform of Local and Overseas Listing Systems and Bond Market this Year
- China’s PBOC to Give Abject Poverty Areas Priority in New Financial Capital and Services
- Hong Kong SFC Reprimands and Fines EFG Bank AG HK$2 Million
- Hong Kong SFC Releases Circular to Licensed Corporations and Associated Entities on Recommendations from JFIU regarding the Quality of Suspicious Transaction Reports (STR)
- Brazil: CVM Forbids Funds from Investing in Bitcoin and Other Crypto-currencies
- Amendments to Rules Regarding Stock Pledge and Repo Transactions by SZSE and CSDS
- European Securities and Markets Authority (ESMA) Publishes First MiFID II Position Management Controls for Commodity Derivatives
- EBA Publishes Final Guidelines on Disclosure Requirements of IFRS 9 Transitional Arrangements
- HKMA Launches Consultation on Rules for Loss-absorbing Capacity Requirements for Authorized Institutions under Financial Institutions (Resolution) Ordinance
- Hong Kong SFC Released Research Paper on Hong Kong ETF Market and Topical Issues in the ETF Space
CBRC Forbids Use of Entrusted Loans for Investment and Related Purposes - Hong Kong SFC’s Consultation Paper Proposes to Increase Voting Approval Thresholds to 75% for Whitewash Transactions and to Enhance Supervision and Enforcement Regarding Takeovers
Financial Services Regulatory Update 2018/01/05
- China Securities Regulatory Commission’s Pilot Scheme to Allow Selected Hong Kong-listed H-share Companies’ Shares to be Fully Tradeable
- China Insurance Regulatory Commission’s Consultation Papers on Management Measures to Further Improve the System of Independent Directors in Insurance Institutions
- Hong Kong Monetary Authority Signs Fintech Cooperation Agreement with Dubai Financial Services
- China Securities Regulatory Commission: Full Implementation of the New Auditor Reporting Standards
- United Kingdom Financial Conduct Authority Fines Tejoori £70k for Failing to Disclose Inside Information Asap
- United Kingdom Financial Conduct Authority’s Approach to Authorisation and Competition
- London Stock Exchange’s ELITE and Subsidiary of Shenzhen Stock Exchange SSIC, Sign MoU to Launch Business Support and Capital Raising Program in China
- China Securities Regulatory Commission and The Securities and Futures Commission Enter into a Memorandum of Understanding to Enhance Supervisory Assistance and Enforcement Cooperation in Futures Markets
- Hong Kong Securities and Futures Commission Provides Additional Guidance to Licensed Corporations on Establishing and Maintaining Prudential Risk Management Practices for Client Money, Liquidity and the Concentration Risks of Funding Sources Within Group-Affiliated Entities
- Amendments Made by the Shanghai Stock Exchange on the Format of Provisional Announcements to Improve the Accuracy of Information Disclosure
Financial Services Regulatory Update 2017/12/22
- China Insurance Regulatory Commission’s Consultation Papers on Prevention of Insurance Fraud and Qualifications Requirements on Senior Personnel of Insurance Companies
- Hong Kong Securities and Futures Commission Issued “Frequently Asked Questions on Advisory Work on Valuations in Corporate Transactions”
- Salient Features of Revision of Fit and Proper Person Guidelines of Hong Kong Insurance Authority
- China Securities Regulatory Commission Working on Fourth Phase of Specific Enforcement Project: Fighting Irregularities Regarding Private Equity Funds
- United Kingdom Financial Conduct Authority Fines Bluefin £4 Million for Misleading Customers
- Hong Kong Stock Exchange Publishes GEM Consultation Conclusions and Changes to GEM and Main Board Listing Rules
- Hong Kong Stock Exchange to Expand Hong Kong’s Listing Regime to Allow Listing of Qualified WVR and Biotech Issuers
- New Hong Kong SFC Compliance Bulletin Highlights Conflicts of Interest
- Hong Kong SFC Publicly Censures Zhang Qiang for Breach of the Takeovers Code – Acquisition of Shares at Higher-than-Offer-Price within Six Months After Close of Offer
- Hong Kong SFC Launches Consultation on OTC Derivatives and Conduct Risks
Financial Services Regulatary Update 2017/12/08
SEHK’s Proposal to Reform the Independent Directors Regime and Strengthen the Corporate Governance of Listed Companies
Financial Services Regulatary Update 2017/11/24
Financial Services Regulatary Update 2017/11/10
Financial Services Regulatary Update 2017/10/27
HKEX Issued Modified Guidelines on Controlling Shareholders and Ownership Continuity
Financial Services Regulatary Update 2017/10/13
Financial Services Regulatary Update 2017/09/29
SFC and HKEX Released Joint Consultation Conclusions on Listing Regulation
Financial Services Regulatary Update 2017/09/15