News Centre

ESMA Updates Its Benchmarks Register

Date 07/09/2018

Today, the European Securities and Markets Authority (ESMA) has moved its register for benchmark administrators and third country benchmarks to the ESMA registers database.

Hong Kong's Securities And Futures Commission Welcomes Appointment Of Chairman

Date 07/09/2018

The Securities and Futures Commission (SFC) welcomes the appointment by the Chief Executive of Mr Tim Lui Tim-leung as the Chairman of the SFC for a term of three years from 20 October 2018.

ASX Monthly Activity Report - August 2018

Date 07/09/2018

Listings and Capital Raisings

• In August 2018, total capital raised was $2.5 billion, down 57% on the previous corresponding period (pcp)

Maintaining Financial Well-Being Against Systemic Risks Hong Kong Chinese Enterprises Association Seminar, Ms Julia Leung, Deputy Chief Executive Officer, Hong Kong Securities And Futures Commission And Executive Director, Intermediaries

Date 07/09/2018

Good morning, ladies and gentlemen.

The theme of today’s workshop is maintaining financial well-being against systemic risks, which is a particularly meaningful topic for discussion on the tenth anniversary of the collapse of Lehman Brothers.

ASIC’s Corporate Plan 2018-2022

Date 07/09/2018

ASIC today published its Corporate Plan for 2018–19 to 2021–22. 

The Corporate Plan articulates ASIC’s updated vision, mission and our strategic plan to achieve them.

Q & A On Shanghai-London Stock Connect Mechanism

Date 07/09/2018

Q1: What is Shanghai-London Stock Connect Mechanism?

A: As a connectivity mechanism between the Shanghai Stock Exchange (SSE) and the London Stock Exchange (LSE), Shanghai-London Stock Connect refers to the arrangement that the eligible companies listed in the two countries issue the depositary receipts (DRs) and list and trade them on the other side's market according to the laws and regulations for the other side's market. At the same time, through the cross-border conversion mechanism between depositary receipts and underlying securities, the connectivity of the two markets will be realized.

Shanghai-London Stock Connect includes two business directions, eastbound and westbound. The eastbound business means that the LSE-listed companies list the Chinese depositary receipts (CDRs) on the SSE. In the westbound business, the A-share companies on the SSE list the global depositary receipts (GDRs) on the LSE.

Canadian Securities Regulators Propose Rule Regarding Non-GAAP And Other Financial Measures

Date 06/09/2018

The Canadian Securities Administrators (CSA) today published for comment Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure (the Proposed Instrument), which establishes disclosure requirements for issuers that disclose non-GAAP and other financial measures. These measures often lack standardized meanings, resulting in potentially misleading or confusing disclosure.

SEC Charges Real Estate Broker With FCPA Violations

Date 06/09/2018

The Securities and Exchange Commission today announced settled FCPA charges against a New Jersey real estate broker arising out of his attempt to bribe a foreign official while acting as a broker for Colliers International Group, Inc.

CE Council And FINRA Request Comment On Potential Enhancements For The Securities Industry Continuing Education Program

Date 06/09/2018

The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for registered persons.

SEC Names Anita Bandy And Carolyn Welshhans As Associate Directors In Enforcement Division

Date 06/09/2018

The Securities and Exchange Commission today announced that Anita B. Bandy and Carolyn M. Welshhans have been named Associate Directors in the SEC’s Division of Enforcement.  In their new roles, Ms. Bandy and Ms. Welshhans will each supervise approximately 40 attorneys, paralegals, and staff responsible for investigating a wide variety of securities law violations.