Financial Services Regulatory Update 2020/12/11

  • Hong Kong Court of Appeal Clarifies the Majority Test and Fairness Test for Sanctioning Schemes of Arrangement Involving Takeover Offers
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of SMI Holdings Group Limited (In Liquidation) (Stock Code: 198)
  • Hong Kong Exchanges and Clearing Limited Launches Sustainable and Green Exchange (STAGE)
  • Hong Kong Exchanges and Clearing Limited Announces Stock Connect Expansion Arrangements among The Stock Exchange of Hong Kong Limited, Shanghai Stock Exchange and Shenzhen Stock Exchange
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Wuzhou International Holdings Limited (Stock Code: 1369)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Haitian Energy International Limited (In Provisional Liquidation) (Stock Code: 1659)
  • The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Main Board Profit Requirement
  • Hong Kong Securities and Futures Commission Provides Additional Guidance on External Electronic Data Storage
  • Market Misconduct Tribunal Finds Insider Dealing in Shares of China Gas Holdings Limited
  • Hong Kong Securities and Futures Commission Consults on Investor Identification
  • Hong Kong Securities and Futures Commission Announces that Amendments to the Code on Real Estate Investment Trusts (REIT Code) Have Taken Effect
  • Hong Kong Securities and Futures Commission Commences Legal Proceedings Against New Ray Medicine International Holding Limited and its Former Top Executives
  • U.S. Commodity Futures Trading Commission Unanimously Approves Final Rules Related to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
  • U.S. Commodity Futures Trading Commission Unanimously Approves Final Rules Related to Swap Execution Facilities and Withdraws Unadopted Proposals
  • U.S. Commodity Futures Trading Commission Approves Two Final Rules at December 8 Open Meeting
  • U.S. Commodity Futures Trading Commission Orders Vitol Inc. to Pay US$95.7 Million for Corruption-Based Fraud and Attempted Manipulation
  • U.S. Securities and Exchange Commission Modernizes Framework for Fund Valuation Practices
  • U.S. Securities and Exchange Commission Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data
  • U.S. Securities and Exchange Commission Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
  • U.S. Securities and Exchange Commission Orders BlueCrest to Pay US$170 Million to Harmed Fund Investors
  • U.S. Securities and Exchange Commission Charges Disbarred and Licensed Attorney with Scheme to Create False Opinion Letters
  • First Batch of Pilot Credit Protection Certificates Are Successfully Issued via Shenzhen Stock Exchange
  • Officials from Relevant Departments of the China Securities Regulatory Commission Answered Reporter Questions regarding the U.S. House Approving Holding Foreign Companies Accountable Act
  • Sample Stocks for Shenzhen Stock Exchange Component Index, ChiNext Index and Shenzhen Stock Exchange 100 Index to be Adjusted
  • To Provide Warm and Targeted Regulatory Services – Shenzhen Stock Exchange Issues Reference Text for Regulations on Corporate Bondholders’ Meetings
  • Shanghai Stock Exchange Issues Business Guide No.1 for Corporate Bond Duration – Rules for Corporate Bond Holders’ Meetings (Reference Text)
  • Shanghai Stock Exchange Amends the Rules of the Shanghai Stock Exchange Governing Review of the Issuance and Listing of Stocks on the Science and Technology Innovation Board and the Administrative Measures of the Shanghai Stock Exchange Governing the Listing Committee of the Science and Technology Innovation Board
  • Shanghai Stock Exchange Optimizes the Review and Approval Rule System for the Issuance and Listing of Corporate Bonds Through the Registration System
  • From Full Force to Targeted Measures, Shenzhen Stock Exchange to Take Solid Steps to Improve the Quality of Listed State-owned Enterprises
  • Australian Securities and Investments Commission Issues Information Sheet on Managing Conduct Risk During LIBOR Transition
  • Australian Securities and Investments Commission Succeeds in Application to Wind up Chris Marco’s Unregistered Managed Investment Scheme
  • Administrative Appeals Tribunal Upholds Decision of Australian Securities and Investments Commission to refuse Allegra a License
  • Singapore and China Expand Financial Cooperation to Support Post-COVID-19 Recovery
  • Monetary Authority of Singapore Launched Digital Infrastructure to Enable More Effective Financial Planning by Singaporeans
  • Singapore Exchange Welcomes the Listing of China Development Bank’s Domestic Bonds
  • Singapore Exchange Welcomes Credit Bureau Asia Limited to Mainboard
  • Singapore Exchange Welcomes the Listing of Lion-OCBC Securities Hang Seng TECH ETF
  • Financial Conduct Authority of the United Kingdom Reminds Firms to Be Ready for End of Transition Period
FS_Regulatory_Update_JML_20201211

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