Skip to main content
WeiMindWeiMind
ChineseView Course
Quant Radar

Content Formats

Regulation and Enforcement Latest Activity

Public consultations, enforcement actions, penalties, and risk alerts.

57 related activitiesLast 30 days 45 itemsFeatured among them 2 items

Updated

Regulation and Enforcementrelated activities

20 OctTueIssue 1–20 items
  1. SEC: Press Release36

    SEC Signs Regulatory Cooperation MOU with France's AMF to Strengthen Cross-Border Oversight of Investment Advisers and Investment Service Providers

    The U.S. Securities and Exchange Commission (SEC) and France's Autorité des marchés financiers (AMF) announced on October 20, 2026, the signing of a Memorandum of Understanding (MOU) on regulatory cooperation, establishing a framework for cross-border regulatory consultation, collaboration, and information sharing. The MOU covers investment advisers, investment companies, and investment service providers operating in both the U.S. and France and regulated by either authority. It will facilitate AMF-regulated asset management firms conducting business in the U.S. as investment advisers, with the SEC processing new and pending registration applications from relevant firms under this arrangement.

    Read original
  2. SEC: Press Release25

    SEC and Japan Financial Services Agency (FSA) Hold Autumn Financial Regulatory Dialogue

    The U.S. Securities and Exchange Commission (SEC) and Japan Financial Services Agency (FSA) held their autumn financial regulatory dialogue in Tokyo on October 19, 2026, led by SEC Commissioner Mark T. Uyeda and FSA Deputy Commissioner for International Affairs MIYOSHI Toshiyuki. The two sides exchanged views on cross-border regulatory topics including recent market developments, public and private market trends, asset management, and regulatory innovation. The next dialogue is scheduled to take place in Washington, D.C. in spring 2027.

    Read original
  3. Hong Kong Monetary Authority: Press Releases22

    Hong Kong Monetary Authority Announces Tender Results for Exchange Fund Bills on October 20, 2026 and Tender Arrangements for October 27

    The Hong Kong Monetary Authority announced the tender results for three Exchange Fund Bills (EF Bills) on October 20, 2026, namely issues Q2642, H2671, and Y2696, with key tender data including allocated amounts, accepted yields, and pro-rata allotment ratios disclosed. It also announced that tenders for Exchange Fund Bills of issues Q2643 and H2671 will be held on October 27, 2026, with a total planned issuance amount of HK$80,782 million.

    Read original
  5. SEC: Press Release26

    SEC Announces Roundtable on Machine-Readable Data in the Age of Superintelligence

    The SEC announced it will host a roundtable on machine-readable data in the age of superintelligence on November 9, 2026, at its Washington, D.C. headquarters. The event will discuss the applications of machine-readable data and superintelligence, as well as related risks and costs. The roundtable is open to the public; in-person attendance is limited, and it will be streamed live on the SEC’s website, with a recording to be made available afterward.

    Read original
19 OctMon
  2. Federal Register: CFTC rules and notices49

    CFTC Proposes Further Defining the Inclusion Scope of the 'Swap' Definition

    The CFTC released a proposed rule to further define the inclusion scope of the 'swap' definition and clarify the regulatory boundary of event contracts. This proposal does not further define 'security-based swaps', and the CFTC has sought the opinion of the Board of Governors of the Federal Reserve System on this proposal.

    Read original
  3. Federal Register: CFTC rules and notices23

    Agency Information Collection Activity: Notice of Intent to Extend OMB Control Number 3038-0093 (Part 40, General Provisions for Registered Entities)

    The CFTC is issuing a notice under the Paperwork Reduction Act (PRA) to seek public comment on the proposed extension of OMB Control Number 3038-0093, which corresponds to information collections under CFTC Regulation Part 40, General Provisions for Registered Entities. The public may submit comments online via Regulations.gov, by mail, or by hand delivery by December 18, 2026, with online submission encouraged. All comments must be submitted in English or accompanied by an English translation. Submissions will be made publicly available directly, so please do not include personal or commercially sensitive information that you do not wish to disclose.

    Read original
16 OctFri
  1. HKEX: Market Communications68

    HKEX Unveils T+1 Settlement Transition Roadmap for Securities Market, Targeting Implementation in H2 2028

    HKEX released the conclusions of its consultation on accelerating settlement, confirming broad market support for transitioning the Hong Kong securities market to a T+1 settlement cycle, with a target implementation in the second half of 2028, subject to market readiness and regulatory approval. The consultation received 109 non-duplicate responses from brokers, custodians, investment managers, industry associations, technology providers, and investors.

    Key Takeaways:HKEX announced a three-tier implementation framework for T+1 settlement and a target launch timeline in the second half of 2028, allowing market participants to plan system upgrades and operational preparations in advance.

    Read original
15 OctThu
  1. Federal Reserve: Speeches55

    Fed Governor Bowman Delivers Remarks on Regulatory Modernization After Silicon Valley Bank Failure

    Federal Reserve Governor Michelle Bowman delivered remarks presenting preliminary findings from an independent review of the Silicon Valley Bank (SVB) failure that she commissioned, along with directions for advancing regulatory modernization. The review found that supervisors identified SVB's interest rate and liquidity risks at least nine months before the bank was taken over, but failed to act promptly due to long-standing ambiguity in decision-making authority and a lack of accountability mechanisms. Between 2019 and SVB's failure, the bank had 54 supervisory matters requiring attention or immediate attention, yet none required it to address its core financial risks.

    Read original
  4. Hong Kong Monetary Authority: Press Releases35

    HKMA launches "ART" framework to promote responsible AI adoption in the banking sector

    The HKMA launched the "ART" framework on October 15, centered on the core principles of Accountability, Resilience, and Trust, to support the banking sector in responsibly adopting artificial intelligence. The framework includes the release of the latest regulatory guidelines on responsible AI adoption, the joint establishment of an AI training data sharing platform, and the advancement of agentic AI application testing. Concurrently, the HKMA and Cyberport co-hosted a two-day "Finance + AI Forum," marking the successful completion of the second phase of the Generative AI Sandbox technical testing.

    Read original
  5. Hong Kong Monetary Authority: Press Releases23

    The Hong Kong Monetary Authority will conduct a tender for 2-year RMB Hong Kong SAR government institutional bonds via tap issuance on October 22, 2026.

    The Hong Kong Monetary Authority, on behalf of the Hong Kong SAR Government, announced that it will conduct a tender for 2-year RMB institutional government bonds via tap issuance of existing 3-year government bonds (issue number 03GB2807001) on October 22, 2026. The tender size is RMB 750 million, with a settlement date of October 26, 2026.

    Read original
14 OctWed
  1. SEC: Press Release26

    SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding Rules

    The U.S. Securities and Exchange Commission (SEC) Small Business Capital Formation Advisory Committee announced it will hold a public meeting at its Washington D.C. headquarters at 10:00 a.m. on October 27, 2026, to discuss potential policy adjustments for IPO modernization and Regulation Crowdfunding (Reg CF). The meeting will be streamed live on SEC.gov, with the morning session focusing on optimizing IPO processes, communication rules, and analyst coverage support, and the afternoon session evaluating the current Reg CF framework and hearing input from industry experts.

    Read original
  2. News Search: Domestic Futures Exchange Rules21

    DCE: Accelerating the Development and Launch of New Varieties such as Recycled Steel Raw Materials and Sulfur

    The Dalian Commodity Exchange (DCE) has explicitly stated that it will accelerate the research, development, and launch of new futures varieties such as recycled steel raw materials and sulfur. The relevant information was released by Securities Times, and the specific launch timeline, contract specifications, and supporting rule details for the above new varieties have not been disclosed yet.

    Read original