The Stock Exchange of Hong Kong Limited Invites Feedback on Proposals to Introduce a Paperless Listing & Subscription Regime, Online Display of Documents and Reduction of the Types of Documents on Display
Hong Kong Eastern Magistrates’ Court Convicts and Fines Brilliance Capital Management Limited and Its Director for Unlicensed Activities
U.S. Commodity Futures Trading Commission Charges NYMEX and Two Former Employees for Disclosing Material Non-Public Information
U.S. Securities and Exchange Commission Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements
Pharmaceutical Company and Former Executives Charged with Misleading Financial Disclosures
U.S. Securities and Exchange Commission Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators
U.S. Securities and Exchange Commission Charges Trustify Inc. and Founder in US$18.5 Million Offering Fraud
U.S. Securities and Exchange Commission Charges Former Georgia State Legislator with Defrauding Investors in Ponzi Scheme
U.S. Securities and Exchange Commission Charges CEO and Company with Investors Out of Millions
U.S. Securities and Exchange Commission Adopts Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act
China Securities Regulatory Commission Intends to Impose Administrative Penalties on Ucar Inc. and Beijing Qwom Digital Technology Co., Ltd. for Violation of Information Disclosure
China Securities Regulatory Commission Issues the Opinions on the Application of Articles 28 and 45 of the Administrative Measures for the Material Assets Reorganization of Listed Companies – No.15 Opinions on the Application of Securities and Futures Laws and Guidelines on the Application of Regulatory Rules – No. 1 Listing Class
The Supreme People’s Court of the People’s Republic of China issues the Provisions on Several Issues Concerning Representative Litigation in Securities Disputes
Shenzhen Stock Exchange Releases the Notice on Corporate Bond Swap Business to Promote the Building of a Market-oriented, Rule-of-law-based Debt Management System
Financial Conduct Authority of the United Kingdom Launches Enhanced Financial Services Register to Protect Consumers
Financial Conduct Authority of the United Kingdom Consults on New Rules to Improve Open-ended Property Fund Structures
Singapore Exchange Pioneers Asia’s First International REIT Futures