Financial Services Regulatory Update 2021/08/20

  • Court of Hong Kong Gives Useful Guidance on Concert Parties’ Vote in Privatisation Schemes
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Burwill Holdings Limited (Provisional Liquidators Appointed) (Stock Code: 24)
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against a Former Director of Winto Group (Holdings) Limited (Stock Code: 8238)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of China Trends Holdings Limited (Stock Code: 8171)
  • Hong Kong Securities and Futures Commission to Introduce Investor Identification and OTC Securities Transaction Reporting
  • Hong Kong Securities and Futures Commission and Independent Commission Against Corruption Implements Joint Operation on Listed Company’s Suspicious Money Lending Activities
  • U.S. Federal Court Orders BitMEX to Pay US$100 Million for Illegally Operating a Cryptocurrency Trading Platform and Anti-Money Laundering Violations
  • U.S. Commodity Futures Trading Commission Orders Tyson Foods to Pay US$1.5 Million for Position Limit, Reporting, and Recordkeeping Violations
  • U.S. Commodity Futures Trading Commission Charges Unregistered Forex Firm and its Owner with Fraud and Misappropriation
  • U.S. Securities and Exchange Commission Obtains Court Order to Stop Investment Adviser’s Alleged Ongoing Offering Fraud
  • U.S. Securities and Exchange Commission Obtains Emergency Relief, Charges Two Companies and their Principal Officer with Operating a Ponzi Scheme
  • U.S. Securities and Exchange Commission and the European Central Bank Sign Memorandum of Understanding Regarding Cooperation with Respect to Security-Based Swap Entities
  • U.S. Securities and Exchange Commission Charges Pearson plc for Misleading Investors About Cyber Breach
  • U.S. Securities and Exchange Commission Enhances Access to Financial Disclosure Data
  • U.S. Securities and Exchange Commission Charges Netflix Insider Trading Ring
  • Singapore Exchange Reports Market Statistics for July 2021
  • Singapore Exchange Named Asia’s Best FX Exchange and FX Clearing House by FX Markets
  • Singapore Exchange Welcomes Shanaya Limited to Catalist
  • The Financial Conduct Authority of the United Kingdom Publishes Decision Notice against Financial Adviser for Pension Transfer Advice Failings
  • Australian Securities and Investments Commission Finds Good Practices from COVID-19 Review of Managed Funds’ Valuation of Illiquid Assets
  • Shenzhen Stock Exchange Conducts Special Inspections to Continuously Strengthen the Regulation of Quotation of New Stocks
  • Improve the Investor Protection Mechanism to Promote the High-quality Development of the Bond Market —— Shenzhen Stock Exchange Releases the Reference Text on Corporate Bond Investor Protection
FS_Regulatory_Update_JML_20210820

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