Financial Services Regulatory Update 2021/04/02

  • Additional Disclosure Required by Hong Kong Securities and Futures Commission of Future Intentions for Unlisted Securities When Offered as Consideration of Offer
  • The Stock Exchange of Hong Kong Limited Seeks Views on Reforms to Enhance Listing Regime for Overseas Issuers
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Harmonicare Medical Holdings Limited (Stock Code: 1509)
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Coslight Technology International Group Limited (Stock Code: 1043) and its 10 Directors
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against China Yu Tian Holdings Limited (Delisted, Previous Stock Code: 8230) and its Seven Directors
  • Hong Kong Securities and Futures Commission Obtains Disqualification Orders against Former Senior Executives of Long Success International (Holdings) Limited
  • Hong Kong Securities and Futures Commission Reprimands and Fines GEO Securities Limited HK$6.3 Million for Breaching its Licensing Conditions and Failures related to the Sale of Unlisted Bonds
  • U.S. Federal Court Orders U.K. Man to Pay More Than US$571 Million for Operating Fraudulent Bitcoin Trading Scheme
  • U.S. Commodity Futures Trading Commission Orders Coinbase Inc. to Pay US$6.5 Million for False, Misleading, or Inaccurate Reporting and Wash Trading
  • U.S. Commodity Futures Trading Commission Charges Former Fuel Oil Trader with Manipulating Fuel Oil Benchmark
  • U.S. Commodity Futures Trading Commission Charges Rancher and Feedyard with US$233 Million Phantom Cattle Fraud Scheme
  • U.S. Securities and Exchange Commission Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act
  • Keynote Speech by Chairman YI Huiman at the China Securities Regulatory Commission Roundtable of China Development Forum 2021
FSR_Regulatory_Update_JML_20210402

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