• Hong Kong Securities and Futures Commission Reprimands and Fines Mega International Commercial Bank Co., Ltd. HK$7 Million for Regulatory Breaches over CIS Sale
• Hong Kong Securities and Futures Commission Obtains Disqualification Orders against Former Directors of EganaGoldpfeil (Holdings) Ltd
• Hong Kong Securities and Futures Commission Obtains Court Order against Shandong Molong Petroleum Machinery Company Limited
• The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Mr Zhang Yun, Former Executive Director of Kiu Hung International Holdings Limited (Stock Code 381), for Failure to Comply with A Direction on Training and the Listing Rules
• The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Kong Sun Holdings Limited (Stock Code: 295) and Seven of its Current and Former Directors for Breaching the Listing Rules and the Director’s Undertaking
• The Hong Kong Competition Commission Reminds Businesses Participating in Anti-epidemic Subsidy Programs to Adhere to the Competition Ordinance
• The Hong Kong Insurance Authority Grants Authorization under Fast Track to the Fourth Virtual Insurer
• The Hong Kong Monetary Authority and the Hong Kong Securities and Futures Commission Initiates the Establishment of the Green and Sustainable Finance Cross-Agency Steering Group
• U.S. Securities and Exchange Commission Charges Companies and CEO for Misleading COVID-19 Claims
• U.S. Securities and Exchange Commission Charges Bloomberg Tradebook for Order Routing Misrepresentations
• U.S. Securities and Exchange Commission Charges Morgan Stanley Smith Barney with Providing Misleading Information to Retail Clients
• U.S. Commodity Futures Trading Commission Orders Trader and his Firm for Wash Sales
• U.S. Commodity Futures Trading Commission Files Charges in US$20 Million International Binary Options and Digital Asset Fraud Scheme
• Shanghai Stock Exchange STAR Companies Release Annual Reports with Highlights
• Shenzhen Stock Exchange’s Press Conference on the Publication of the Business Rules for Reform of the ChiNext Board and Piloting the Registration-based System
• Shenzhen Stock Exchange Advances the Pilot Project for Publicly Offered REITs with All-out Efforts
• Shenzhen Stock Exchange Releases Five Themed Stock Indexes with Characteristics Including Public Health and Yangtze River 100
• Australian Securities and Investments Commission Warns Consumers: Investment Advertising Is Not Always ‘True to Label’
• Australian Securities and Investments Commission Defers Commencement of Mortgage Broker Reforms and Design and Distribution Obligations
• The Financial Services Regulatory Initiatives Forum of the United Kingdom Launches the Grid to Help Financial Firms’ Planning
• The Monetary Authority of Singapore Introduces Temporary Measures to Allow Electronic Dissemination of Rights Issue and Take-over Documents

FS_Regulatory_Update_JML_20200515

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