Events listed in Capital Markets
Consolidated FAQs on the implementation of Council Regulation No 833/2014 and ...
ID 26549
The EC has published an updated consolidated version of its FAQs on the implementation of Council Regulation No 833/2014 and Council Regulation No 269/2014 in light of the ongoing conflict in Ukraine. The consolidated version includes FAQs concerning EU sanctions adopted following Russia’s military aggression against Ukraine. Below we present the affected updated (new) questions which might have relevance to the financial market in ...
Joint circular on intermediaries’ virtual asset-related activities
ID 26548
The Hong Kong Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) have issued a new joint circular addressed at financial market intermediaries engaged in virtual asset-related activities. The circular thereby provides guidance and updates on the regulatory approach for distributing virtual asset-related products (VA-related products) and providing virtual asset dealing services to investors. The circular supersedes a previous one recently ...
Council Implementing Regulation (EU) 2023/2905 concerning restrictive measures in ...
ID 26545
New Council Implementing Regulation (EU) 2023/2905 concerning restrictive measures in light of the situation in the Democratic Republic of the Congo was published in the Official Journal (OJ) of the EU. The Implementing Regulation modifies an existing sanction regulation in this context, namely Council Regulation (EC) No 1183/2005, to add two and remove two individuals listed in the sanctions list contained in Annex I ...
FAQs – Publicly offered investment products: Guide on the Use of Financial ...
ID 26543
The Securities and Futures Commission, SFC, has published updated guidelines in connection with the use of financial derivative instruments by Unit Trusts and Mutual Funds. The guide primarily outlines the principles to determine net derivatives exposure and corresponding disclosure requirements. It also sets forth circumstances where such calculation isn’t needed (provisions for omitting the determination). This most recent update includes revisions to Annex 2, ...
The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) ...
ID 26541
The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 were recently published on legislation.gov.uk, the official journal of the United Kingdom. As indicated in the title, the regulations make further consequential amendments to other regulations in an effort to transpose the provisions of the Retained EU Law (Revocation and Reform) Act (REUL Act) and path the way for an all ...
United Nations Sanctions (Central African Republic) Regulation 2020 (Cap. 537CM) ...
ID 26540
A revised version of the United Nations Sanctions (Central African Republic) Regulation 2020 was published on Hong Kong e-Legislation, the official platform of the Hong Kong government for legislative publications. The revised version contains the amendments made by the United Nations Sanctions (Central African Republic) Regulation 2020 (Amendment) Regulation 2023 which renewed or better extended already existing sanction provisions with respect to the following: ...
Correction Slip 1
ID 26537
On December 22, 2023, a correction slip to the new Money Laundering and Terrorist Financing (Amendment) Regulations 2023 as regards the treatment of a domestic politically exposed person (PEP) was published on legislation.gov.uk, the official UK platform for the publication of legal texts. The correction slip modifies the Explanatory Note, specifically the last paragraph of such, to read as follows – as quoted: “A ...
List of market makers and authorised primary dealers [pdf]
ID 26536
The Financial Conduct Authority (FCA) has published an updated list of UK authorized market makers and primary dealers pursuant to Article 17(13) of the retained EU Short Selling Regulation (UK SSR) which are exempt from short selling prohibitions in accordance with paragraph 1 or 3 of same regulation. A comparison with the previous list reveals that SPIRE EUROPE LIMITED (SPIRGB21) has been replaced by ...
Publication des rapports du FSB et de l’OICV sur la gestion de la liquidité des ...
ID 26533
Back in Septembr 2023, the AFG responded to corresponding consultations by the FSB and IOSCO on open-ended fund liquidity management, of which both organizations now published their respective final reports. These comprehensive reports reflect a concerted effort to address challenges related to liquidity management in open-end funds. **The FSB’s focus on harmonizing the use of anti-dilution tools is particularly noteworthy, aiming to enhance the ...
Current report pursuant to Section 13 or 15(d) (PDF)
ID 26532
The U.S. Securities and Exchange Commission (SEC) has published revised Form 8-K relating to the notification of certain „material“ events to the Commission. Specifically, the revised form must be used for a variety of purposes, including reporting changes in control of the company, resignations of directors or officers, bankruptcy filings, and the entry into material agreements. Form 8-K requires companies to disclose information promptly, ...