Financial Services Regulatory Update 2020/01/03

  • 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
FS_Regulatory_Update_JML_20200103

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