FSR and Corporate Crime Notes

FCA publishes final rules on diversity-related disclosures by listed companies

SPACs in the City: the emerging litigation and regulatory risks in England & Wales

Enhanced Hong Kong Stock Exchange disciplinary powers and sanctions to take effect on 3 July 2021

HONG KONG SFC CONTINUES TO IDENTIFY DEFICIENCIES IN SPONSOR WORK IN SECOND THEMATIC REVIEW

On 26 March 2018, the Securities and Futures Commission (SFC) published a circular and a report following its second thematic review of sponsors. As with …

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 …

Singapore: SGX reprimands oilfield services firm for failure to provide a balanced and fair announcement to the market

The Singapore Exchange (SGX) has issued a public reprimand to Swiber Holdings Limited (Swiber), an oilfield services firm, on 31 October 2016 (Regulatory …

Market abuse update - July 2016

The Market Abuse Regulation (MAR) and the Criminal Sanctions (Market Abuse) Directive came into application in Europe on 3 July 2016.  Various …

UK Listing Rules: fine for failing to identify related party transactions

The FCA's recent fine for breaches of the Listing Rules, principally in respect of failures in systems and controls to identify related party …

Market abuse update - December 2014

The FCA has continued to build on the strong track record of civil and criminal enforcement action against abusive conduct and manipulation, notably in …

UAE: Review of DFSA Markets Brief No. 6: ongoing market disclosure

The Dubai Financial Services Authority ("DFSA") is the independent regulator of all financial and ancillary services conducted through the Dubai …

Singapore Exchange implements Mainboard Listing Rules for Mineral, Oil and Gas Companies

Following a public consultation in 2012, the Singapore Exchange Securities Trading Limited (“SGX”) has implemented new rules for the listing and …

UK: Market Abuse Update 2013

In its first business plan, the FCA promised to continue to treat market abuse as a priority.  Last week, the FCA published details of its …