Financial Services Regulatory Update 2021/07/23

  • Gazettal of Financial Reporting Council (Amendment) Bill 2021 to Further Enhance the Independence of Hong Kong’s Regulatory Regime of the Accounting Profession in Line with International Developments
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Winshine Science Company Limited (Stock Code: 209) and Six Directors
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Longrun Tea Group Company Limited (Stock Code: 2898) and Its Current Directors
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Longrun Tea Group Company Limited (Stock Code: 2898)
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Two Former Directors of Farnova Group Holdings Limited (Stock Code: 8153)
  • Hong Kong Securities and Futures Commission and Canadian Securities Administrators Establish Fintech Cooperation Agreement
  • Hong Kong Securities and Futures Commission Obtains Court Order to Disqualify Former Executive Director of Anxin-China Holdings Limited for Eight Years
  • Hong Kong Securities and Futures Commission Issues Warning Statement on Unregulated Virtual Asset Platforms
  • Hong Kong Securities and Futures Commission Sanctions Sino-Rich Securities & Futures Limited’s Responsible Officers
  • Hong Kong Securities and Futures Commission Publicly Censures BIT Mining Limited for Breaches of the Takeovers Code
  • U.S. Federal Court Permanently Bans and Imposes an over US$300,000 Penalty Against Foreign Trading Platform for Offering Illegal Leveraged Transactions in Ether, Litecoin, Bitcoin and Precious Metals
  • U.S. Court of Appeals Rules in Favor of U.S. Commodity Futures Trading Commission in Fraud Case Against Monex Deposit Company and its Principals
  • U.S. Securities and Exchange Commission Charges SPAC, Sponsor, Merger Target, and CEOs for Misleading Disclosures Ahead of Proposed Business Combination
  • U.S. Securities and Exchange Commission Settles Charges Related to Investments in Complex Exchange-Traded Product with UBS
  • U.S. Securities and Exchange Commission Charges Initial Coin Offerings “Listing” Website With Unlawfully Touting Digital Asset Securities
  • U.S. Securities and Exchange Commission Halts Alleged Ongoing Offering Fraud Involving Cycling Companies
  • Singapore Exchange Launches New FFA and Futures Contracts for LNG Vessels
  • Fully Implement Scientific Regulation and Classified Regulation and Focus on Cultivating a Group of High-quality Listed Companies — Evaluation Results on Information Disclosure by Shenzhen Stock Exchange-listed Companies Released
  • Improve the System of Rules for Innovative Product Types and Strengthen the Capability of Capital Market to Serve National Strategies – Shenzhen Stock Exchange Revises the Business Guidelines for Green Corporate Bonds and Rural Revitalization Corporate Bonds
  • Shanghai Stock Exchange Releases Consultation and Communication Guide for Review Business of Shanghai Stock Exchange STAR Market
  • Financial Conduct Authority of the United Kingdom Consults on Post-Brexit Divergence for PRIIPS Regulation
  • Australian Securities and Investments Commission Publishes Internal Dispute Resolution Data Dictionary and Glossary ahead of Pilot
FS_Regulatory_Update_JML_20210723

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