The Presumption of Innocence Podcast: Episode 45 - The Grit, Grace and Gift of Second Chances
The Justice Insiders Podcast - The Ever-Expanding Net: Corporate Compliance in an Era of Increasing Trade Sanctions and Restrictions
False Claims Act Insights - Are All Healthcare “Kickbacks” Subject to FCA Liability?
Episode 333 -- The Boeing Proposed Plea Agreement
DOJ’s New Self-Disclosure Policy and Corporate Whistleblower Awards Pilot Program
False Claims Act Insights - Assessing the Fallout from a Thermonuclear FCA Verdict
FCPA Survival Guide - Step 8 - Investing in Compliance
Exploring the AI and Crypto Intersection
The Justice Insiders Podcast: Jarkesy’s Implications for the Administrative State
The Presumption of Innocence Podcast: Episode 41 - The Dynamics of Decision-Making: Psychology and the Criminal Justice System
INTERPOL and Child Kidnapping Cases. What are INTERPOL’s Abilities and Limitations?
False Claims Act Insights - Eureka! Government Investigators Seek Out Research Misconduct
The Justice Insiders Podcast - AI-Washing: Everything Old Is New Again
The CFPB and State AGs Act Jointly Against Online Educational Company
Will the U.S. Have a GDPR? With Rachael Ormiston of Osano
Episode 328 -- Sanctions Enforcement Risks and Redlines
FCPA Survival Guide: Step 3 - Extensive Remediation
Episode 324 -- Third-Party Risks and Sanctions Compliance
Compliance Tip of the Day – Compliance Lessons from the Albemarle FCPA Enforcement Action
The Presumption of Innocence Podcast: Episode 38 - A Blueprint for Compliance: The Fraud Pentagon Theory
查看中文 This update primarily provides an overview of key regulatory developments in the first quarter of 2024 relevant to companies listed, or planning to list, on The Stock Exchange of Hong Kong Limited (HKEx) and their...more
The updates include a report from the Stock Exchange of Hong Kong Limited on review of issuers’ annual reports, a summary of private reprimands, and disciplinary actions....more
This latest example of strategic coordination between Hong Kong regulators confirms a broader regulatory mission and shared objectives. On 5 March 2024, the Hong Kong Stock Exchange (HKEx) issued a Statement of...more
In a recent disciplinary action, the Hong Kong Stock Exchange (HKEX) censured directors of a listed company for failure to fulfil fiduciary duties and duties of skill, care and diligence to a standard at least commensurate...more
Showing SFC enforcement actions which resulted in fines of HKD1 million or more as at 25 July 2022. ...more
Recent annual and quarterly reports published by the Securities and Futures Commission (SFC) of Hong Kong highlight the SFC’s regulatory work for the period dated April 2020 to December 2021 (the 2020/2021 Period). The...more
The Securities and Futures Commission recently issued a consultation paper on proposed enforcement-related amendments to the Securities and Futures Ordinance, the principal legislation that regulates the securities and...more
The tracker below contains details of the SFC’s enforcement actions in Hong Kong showing instances where fines of more than HKD1 million have been imposed as at 16 March 2022. ...more
The SFC's latest annual and quarterly reports highlight the SFC's regulatory work since April 2019 and illustrate some key trends in its enforcement agenda. These reports show that the SFC continues to focus its enforcement...more
The Stock Exchange of Hong Kong Limited (SEHK) publishes revised Listing e-Forms and guidelines for new applicants, Main Board (MB) issuers, and Growth Enterprise Market (GEM) issuers - The Listing e-Forms, which include...more
Recent annual and quarterly reports published by Hong Kong’s Securities and Futures Commission (the SFC) highlight the SFC’s regulatory work for the period dated April 2019 to March 2020 (the 2019/2020 Period), and the period...more
The SFC published its annual report for 2019/2020 in June and has also published its quarterly report for Q2 2020. - These reports show that the SFC continues to focus its enforcement team on cases that have the potential...more
This update provides an overview of key regulatory developments in the past three months relevant to companies listed, or planning to list, on The Stock Exchange of Hong Kong Limited (HKEx), and their advisers. In particular,...more
Despite political and economic uncertainties, markets and deal activity were resilient in 2019, and strong fundamentals remain in place heading into 2020. Companies continue to face a challenging litigation and enforcement...more
This update provides an overview of recent developments that will affect preparation of annual results and annual reports for companies listed on The Stock Exchange of Hong Kong Limited (HKEX). In particular, it covers...more
This edition provides an overview of key regulatory developments in the past three months relevant to companies listed, or planning to list, on The Stock Exchange of Hong Kong Limited (HKEx), and their advisers. In...more
This Hong Kong regulatory update provides an overview of key regulatory developments in the past three months relevant to companies listed (or planning to list) on The Stock Exchange of Hong Kong Limited (HKEx) and their...more
In late February, the SFC published its Enforcement Reporter setting out its enforcement priorities and approaches for 2018. The SFC emphasized its enhanced cross-divisional collaborative approach with more targeted...more
This Hong Kong regulatory update provides a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock Exchange of Hong...more
This Hong Kong regulatory update is intended to provide a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock...more