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Securities Commission Malaysia (SC) Introduces Enhanced Disclosure Requirements For Abridged Prospectuses And Circulars

Date 14/12/2018

The Securities Commission Malaysia (SC) today released the revised Prospectus Guidelines and Equity Guidelines to enhance the disclosure requirements of abridged prospectuses and for circulars related to proposals that would result in a significant change in the business direction or policy of a listed corporation, including back-door listings and reverse take-overs.
Preliminary Remarks By Jean-Claude Juncker President Of the European Commission: Brexit

Date 14/12/2018

Preliminary remarks by Jean-Claude Juncker President of the European Commission, following the European Council, on 13 December 2018, in Brussels.
Hong Kong’s Securities And Futures Commission Announces Agreement To Enhance The Exchange Of Information Under Stock Connect

Date 14/12/2018

The Securities and Futures Commission (SFC) has entered into an agreement with the China Securities Regulatory Commission (CSRC) to enhance the exchange of information under Mainland-Hong Kong Stock Connect .
ESMA Publishes Final Report On The Tick Size Regime

Date 14/12/2018

The European Securities and Markets Authority (ESMA) has today published its Final Report amending the tick size regime (Commission Delegated Regulation (EU) 2017/588 (RTS 11)). The proposed draft amendments to RTS 11 will allow National Competent Authorities (NCAs) of European Union (EU) trading venues, where third-country shares are traded, to decide on an adjusted average daily number of transactions (ADNT) on a case-by-case basis in order to take into account the liquidity available on third country venues in the calibration of tick sizes.
Bursa Malaysia Reinforces Support Of TCFD Recommendations In Updated Sustainability Reporting Guide And Toolkits

Date 14/12/2018

Bursa Malaysia Berhad (“Bursa Malaysia”) is reinforcing its support of the Taskforce on Climate-Related Financial Disclosures (“TCFD”) in the updated version of its Sustainability Reporting Guide and Toolkits (“2nd Edition Guide and Toolkits”) released today, by incorporating TCFD Recommendations to encourage listed issuers in assessing and disclosing material climate-related information in their annual reporting. The 1st Edition Guide and Toolkits were issued in October 2015 to assist listed issuers in the preparation of a sustainability statement and embed sustainability practices within their businesses.

Shenzhen Stock Exchange Holds Law Popularization Activities For The National Constitution Day

Date 14/12/2018

Recently, SZSE carried out law popularization activities themed "effectively advancing law-based market governance under the leadership of the Constitution". The goal is to thoroughly implement General Secretary Xi Jinping's new ideas, thoughts and strategies of comprehensive law-based governance, promote the constitutional spirit, publicize the constitutional knowledge, and strengthen the rule of law in the capital market.
ASIC Advice To AFS Licensees About Upcoming Changes To Education And Training Requirements

Date 14/12/2018

From 1 January 2019, new professional standards requirements for financial advisers will progressively replace training standards in Regulatory Guide 146 Licensing: Training of financial product advisers (RG 146).
Statement Before The SEC Investor Advisory Committee, Richard W. Berry, FINRA Executive Vice President, D ispute Resolution,Washington, DC, December 13, 2018

Date 13/12/2018

Chairman Clayton, Commissioners, and Members of the Committee, thank you for inviting me to appear before you today to discuss the important issue of customer recovery in the financial services industry, including the issue of unpaid arbitration awards. For purposes of today’s discussion, my remarks are focused on unpaid awards in customer arbitration cases.
SEC Charges Former New York Investment Advisor And Daughter With Conducting A Ponzi Scheme

Date 13/12/2018

The Securities and Exchange Commission today charged a former Rockland County, New York-based investment adviser and his daughter with conducting a multi-million dollar Ponzi scheme that defrauded local community members as well as members of their family and close friends.
Joint Statement On The IDI Exception To The Swap Dealer Definition, SEC Chairman Jay Clayton, CFTC Chairman Christopher Giancarlo, Dec. 13, 2018

Date 13/12/2018

U.S. Securities and Exchange Commission (SEC) Chairman Jay Clayton and U.S. Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo issued the following joint statement on the IDI exception to the swap dealer definition in the Dodd-Frank Act: