Regulatory News (Jan 2019)
- Joint consultation on the model for an uncertificated securities market
- Market Misconduct Tribunal sanctions China AU’s former CEO and related persons for false trading
- SFC and CSSF sign MoU on Luxembourg-Hong Kong Mutual Recognition of Funds
- SFC reprimands and fines FWD Life Insurance Company (Bermuda) Limited $2.4 million for regulatory breaches
- SFC issues restriction notices to three brokers to prohibit order placing in listed derivative warrants in client accounts linked to suspected market misconduct