Financial Services Regulatory Update 2019/01/04

  • The Stock Exchange of Hong Kong Limited Updates Frequently Asked Questions Series 17 Regarding Corporate Governance Requirements
  • Hong Kong Securities and Futures Commission Publishes Review of The Stock Exchange of Hong Kong Limited’s Performance in Regulating Listing Matters
  • Hong Kong Court of First Instance Grants Orders Sought by Hong Kong Securities and Futures Commission against Boiler Room Fraudsters to Compensate Investors
  • Hong Kong Securities and Futures Commission Reprimands and Fines Ardon Maroon Fund Management (Hong Kong) Limited HK$800,000 for Cross Trade Related Failures
  • Hong Kong Exchanges and Clearing Limited in 2018: Year in Review
  • Hong Kong Monetary Authority Reprimands and Fines JPMorgan Chase Bank, National Association, Hong Kong Branch for Contraventions of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
  • Hong Kong Privacy Commissioner for Personal Data Releases Inspection Report on Personal Data Systems of Private Tutorial Services Industry to Encourage Organizations in Enhancing Data Stewardship and Sharing Mutual Fairness, Respect and Benefit with Customers
  • JPMorgan Chase Bank N.A. to Pay More Than US$135 Million to Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
  • U.S. Securities and Exchange Commission Charges Two Robo-Advisers with False Disclosures
  • Financial Conduct Authority of the United Kingdom Fines Santander UK Plc £32.8 Million for Serious Failings in Its Probate and Bereavement Process
  • Hong Kong Exchanges and Clearing Limited Enhances Designated Specialist Program for Exchange Traded Products
  • China Consults Public Opinion on Draft Foreign Investment Law
  • United Arab Emirates Issues Decree-Law on Foreign Direct Investment
FS_Regulatory_Update_JML_20190104

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