• Hong Kong Securities and Futures Commission Publishes Issue No.52 Takeovers Bulletin
• Hong Kong Securities and Futures Commission Issues Restriction Notice to Agg. Asset Management Limited
• Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Limited (the Exchange) Issued Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent
• Hong Kong Securities and Futures Commission Reprimands and Fines HSBC Investment Funds (Hong Kong) Limited and HSBC Global Asset Management (Hong Kong) Limited HK$3.5 million for Regulatory Breaches Over Funds’ Cash Management
• Hong Kong Securities and Futures Commission, Hong Kong Exchanges and Clearing Limited and the Federation of Share Registrars Limited Release Joint Consultation Conclusions on the Model for an Uncertificated Securities Market
• Hong Kong Securities and Futures Commission Scrutinizes Leveraged Foreign Exchange Trading
• Notice Issued under Section 2 of Schedule 2 of the Hong Kong Competition Ordinance regarding the Competition Commission of Hong Kong’s Proposal to Accept Commitments in Online Travel Agents Case
• China Securities Regulatory Commission Pays Close Attention to Luckin Coffee Inc.’s Financial Fraud
• U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS
• U.S. Securities and Exchange Commission Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds
• U.S. Securities and Exchange Commission Provides Temporary and Conditional Relief for Business Development Companies Making Investments in Small and Medium-sized Businesses
• U.S. Securities and Exchange Commission Enhances Standards for Critical Market Infrastructure
• Shenzhen Stock Exchange Refines Arrangements on Postponement of Disclosure of Annual Reports
• Shanghai Stock Exchange Implements Arrangements for Extending Disclosure of Annual Reports to Strengthen and Enhance All-round Service for Listed Companies
• Shenzhen Stock Exchange Signs Memorandum of Understanding with Bursa Malaysia to Further Explore Areas and Channels of Cross-border Collaboration
• U.S. Commodity Futures Trading Commission Charges Florida Man and His Companies in Fraudulent Forex and Digital Asset Scheme
• The Monetary Authority of Singapore Takes Regulatory and Supervisory Measures to Help Financial Institutions Focus on Supporting Customers
• Australian Securities and Investments Commission Updates Guidance on Internal Market Making
• Details of Changes to Australian Securities and Investments Commission Regulatory Work and Priorities in Light of COVID-19
• The European Commission Provides “Temporary Framework Communication” to Guide on Allowing Limited Cooperation Among Businesses in Response to Urgent Situations Related to Current Coronavirus Outbreak

 FS_Regulatory_Update_JML_20200417

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