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Showing 84 out of 103 results
Indonesia: New OJK rules on registration requirements for public offerings
On 14 March 2017, the Indonesian Financial Services Authority (Otoritas Jasa Keuangan or “OJK”) issued OJK Rule No. 7/POJK.04/2017 on registration …
Market Abuse Update - May 2017
The latest edition of our Market Abuse Update covers developments from the second half of 2016 through to April 2017. It features: the latest UK …
Criminal Finances Bill receives royal assent
The Criminal Finances Bill 2016-17 received royal assent on Thursday 27 April. The Criminal Finances Act 2017 (the Act), which has not yet come into …
New UK financial sanctions enforcement powers come into force
On 1 April 2017, Part 8 of the Policing and Crime Act 2017 (the “Act”) came into force, introducing new powers for HM Treasury’s Office of Financial …
SFC and HKMA continue to prioritise AML/CFT compliance with six new disciplinary actions in Hong Kong
Since early March 2017, the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) in Hong Kong have collectively taken …
Supreme Court clarifies what is required for "identification" in respect of third party rights under s393 FSMA
In a judgment highly anticipated by firms and their senior managers as well as the regulators, the Supreme Court has overturned decisions of the Court of …
FCA orders listed company to compensate investors following market abuse
The Financial Conduct Authority (FCA) has ordered that Tesco plc and Tesco Stores Limited (together, Tesco) pay compensation to certain Tesco …
Hong Kong Court of Final Appeal quashes conviction of TVB manager in high profile bribery case
The Court of Final Appeal has handed down an important judgment regarding bribery charges against former TVB general manager and TV presenter, Stephen …
Bank win in mis-selling case confirmed by Hong Kong's highest court
On 17 February 2017, the Hong Kong Court of Final Appeal brought to a close the long-running case of DBS Bank (Hong Kong) Limited v Sit Pan Jit (FAMV …
Hong Kong court convicts and sentences former Chief Executive
Last Friday, the former chief executive of Hong Kong, Donald Tsang Yam-kuen, was convicted by a criminal court on a charge of misconduct in public …
Recent SFC actions highlight increased regulatory focus on directors in Hong Kong, including INEDs
The Securities and Futures Commission (SFC) in Hong Kong has recently sought disqualification orders against listed company directors in a number of …
Hong Kong SFC urges intermediaries to review compliance with AML/CFT requirements following identification of deficiencies
On 26 January 2017, the Securities and Futures Commission (SFC) issued a circular (with Appendix 1, Appendix 2 and Appendix 3) highlighting its concerns …
Showing 84 out of 103 results
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