Financial Services Regulatory Update 2021/08/06

  • Hong Kong Competition Commission Advises on Trade Associations’ Membership Admission Rules
  • Hong Kong Securities and Futures Commission Reprimands and Fines UBS AG and UBS Securities Asia Limited HK$11.55 million for Regulatory Breaches
  • Hong Kong Securities and Futures Commission Issues Statement on Next Digital Limited
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Golden Shield Holdings (Industrial) Limited (Stock Code: 2123)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Goldbond Group Holdings Limited (Stock Code: 172)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Blockchain Group Company Limited (In Liquidation) (Stock Code: 364)
  • U.S. Securities and Exchange Commission Charges Ernst & Young, Three Audit Partners, and Former Public Company Chief Accounting Officer with Audit Independence Misconduct
  • U.S. Securities and Exchange Commission Charges Unlicensed Broker with Defrauding Investors
  • U.S. Securities and Exchange Commission Charges Founder of Nikola Corp. with Fraud
  • U.S. Securities and Exchange Commission Charges Real Estate CEO with Defrauding Investors
  • Singapore Exchange Expands Reach into FX OTC with Acquisition of Maxxtrader
  • Singapore Exchange Welcomes the Listing of Lion-OCBC Securities China Leaders ETF
  • Australian Securities and Investments Commission Releases Guidance and Customer Information Requirements to Implement the New Add-on Insurance Deferred Sales Model
  • The Financial Conduct Authority of the United Kingdom Publishes Final Rules to Strengthen Investor Protections in Special Purpose Acquisition Companies
  • China Securities Regulatory Commission Spokesperson Answered Reporter Question Regarding Recent Statement by the U.S. SEC
  • Shenzhen Stock Exchange Releases Supporting Rules for the Listing of NEEQ-listed Companies on the ChiNext Board to Ensure Steady Transfer
  • Shenzhen Stock Exchange Fully Supports Henan in Flood Control, Disaster Relief and Post-disaster Reconstruction
  • Shenzhen Stock Exchange Launches the CNI Xiangmi Lake Green Finance Index
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