by Kenneth Ballon | Feb 3, 2025 | Webinars & Podcasts
Download PDF Version Download Word Version Download Audio Topics and Takeaways: Hong Kong’s SFC Publishes Circular for Virtual Asset Platform Regulations with Stricter Conduct Standards US SEC Announces Departure of International Affairs Director YJ Fischer US SEC...
by Kenneth Ballon | Jan 20, 2025 | Webinars & Podcasts
Download PDF Version Download Word Version Topics and Takeaways: HK SFC Warns Public About Unlicensed Virtual Asset Trading Platform “iSCAT Exchange” UK FCA Fines Arian Financial LLP £288,962.53 for Failures Linked to Cum-Ex Trading Gemini Trust Fined $5 Million for...
by Kenneth Ballon | Jan 14, 2025 | Webinars & Podcasts
Download PDF Version Download Word Version Topics and Takeaways: BIS Insights on Regulating AI in the Financial Sector: Challenges and Opportunities Hong Kong Monetary Authority Announced Schedule for Financial Announcements MAS Encourages Use of Fit Notes and E-Hong...
by Kenneth Ballon | Jan 7, 2025 | Webinars & Podcasts
Download Audio Episode Description: The Code on Takeovers and Mergers, also known as the Takeovers Code, was introduced in Hong Kong in 1975 and is voluntary, relying on market participants’ willingness to comply rather than legal enforcement. The Code is overseen by...
by Kenneth Ballon | Jan 2, 2025 | Webinars & Podcasts
Topics and Takeaways: Swiss FINMA Issues Guidance on Governance and Risk Management in Artificial Intelligence Applications US SEC Approves PCAOB’s 399.7 Million USD Budget for 2025, Establishes Accounting Support Fee US SEC Approves Rule Changes for Listing Hashdex...
by Kenneth Ballon | Jan 2, 2025 | Webinars & Podcasts
Topics and Takeaways: Kraken Operator Ordered to Pay AUD 8 Million for Regulatory Breaches Following ASIC Action US SEC Orders Cantor Fitzgerald to Pay $6.75 Million for Misleading SPAC Disclosures US SEC Announces Leadership Change as Erik Gerding Steps Down, Cicely...
