• Hong Kong Securities and Futures Commission Reprimands and Fines Guosen Securities (HK) Brokerage Company Limited HK$15.2 Million for Breaches of Anti-money Laundering Regulatory Requirements
• Former GEM-listed Group Finance Manager Convicted of Insider Dealing in a Prosecution Brought by the Hong Kong Securities and Futures Commission
• Hong Kong Securities and Futures Commission Responds to the Regulation of Cryptocurrencies and Collective Investment Schemes
• Update on Hong Kong Securities and Futures Commission’s Front-Loaded Regulation of Listing Matters
• Hong Kong Securities and Futures Commission Issues Quarterly Report
• Court of Appeal Dismisses Appeal against Hong Kong Securities and Futures Commission and Market Misconduct Tribunal
• Hong Kong Securities and Futures Commission Suspends China Merchants Securities (HK) Co. Limited’s Former Responsible Officer Wu Yinong for 18 Months
• The Stock Exchange of Hong Kong Limited’s Announcement – in Relation to the Matter of Victory Group Limited Proceeding to Third Stage of Delisting Procedures
• The Stock Exchange of Hong Kong Limited’s Announcement – in Relation to the Matter of China Taifeng Beddings Holdings Limited (Provisional Liquidators Appointed) Cancellation of Listing
• Hong Kong Exchanges and Clearing Limited Intents to Acquire Shenzhen-Based Technology Business
• Hong Kong Exchanges and Clearing Limited Establishes International Advisory Council
• Hong Kong Exchanges and Clearing Limited Announces its Strategic Plan 2019-2021
• Hong Kong Monetary Authority Publishes the Results of the Survey on Small and Medium-Sized Enterprises’ Credit Conditions for Fourth Quarter 2018
• Hong Kong Monetary Authority Hosts the Launch of the Climate Bonds Initiative Hong Kong Green Bond Market Briefing Report
• Hong Kong Privacy Commissioner for Personal Data Publishes Investigation Report on the Incident of Intrusion into Hong Kong Broadband Network’s Customer Database
• Air Services Arrangements between Hong Kong and Mainland Expanded under the Outline Development Plan for the Guangdong-Hong Kong-Macao Greater Bay Area
• Hong Kong Insurance Authority Welcomes Insurance-related Initiatives Announced in the Outline Development Plan for the Guangdong-Hong Kong-Macao Greater Bay Area
• U.S. Securities and Exchange Commission Charges Cognizant Technology Solutions Corporation and Two Former Executives With Foreign Corrupt Practices Act Violations
• U.S. Securities and Exchange Commission Files Charges in Elaborate Microcap Stock Fraud
• U.S. Securities and Exchange Commission Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers
• Company Settles Unregistered Initial Coin Offering Charges After Self-Reporting to U.S. Securities and Exchange Commission
• U.S. Securities and Exchange Commission Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud
• U.S. Securities and Exchange Commission Halts South Florida Alternative Investments Scheme Targeting Retail Investors
• Joint Media Release between Monetary Authority of Singapore and European Commission Concerning Common Approach on Certain Derivatives Trading Venues
• Breaking the Cover-up, and Taking a Combination of Measures – Shenzhen Stock Exchange Cracks Down on Manipulation of Business Performance
• Be Open and Innovative to Serve National Strategies Shenzhen Stock Exchange Roots for Construction of the Guangdong-Hong Kong-Macao Greater Bay Area
• China’s First Cum-right Municipal Bonds Successfully Issued on Shenzhen Stock Exchange
• Financial Conduct Authority of the United Kingdom Issues 2018 Performance Statement Regarding Operation of the Memoranda of Understanding with the Bank of England for Market Infrastructure
• Financial Conduct Authority of the United Kingdom Publishes Wholesale Insurance Brokers Market Study Final Report
• Financial Conduct Authority of the United Kingdom Issues its First Decision under Competition Law
• Highlights of Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at Financial Conduct Authority of the United Kingdom at the Investment Association, London on the Progress of Ending London Inter-bank Offered Rate
• Financial Conduct Authority of the United Kingdom Publishes Statement on Onshoring European Securities and Markets Authority’s Temporary Intervention Measures on Retail Contract for Difference Products and Binary Options Products
• Financial Conduct Authority of the United Kingdom Urges Unauthorized Land Banking Scheme Victims to Get in Touch to Return Funds
• European Union and Global Securities Regulators Welcome Agreement on Data Transfer
• Australian Securities and Investments Commission Consults on Updating its Responsible Lending Guidance
• Australian Securities and Investments Commission Pursues Harsher Penalties for Breaching Corporate and Financial Services Law
• Australian Securities and Investments Commission Concludes HSBC Bank Australia Limited’s Compliance With Enforceable Undertaking
• Australian Securities and Investments Commission Welcomes New Whistleblowing Laws
• Abu Dhabi Global Market and Australian Securities and Investments Commission Sign Agreement to Enhance Collaboration
• Cyprus Securities and Exchange Commission Proposes Bringing Crypto Asset Activities under the ambit of the Anti-Money Laundering Law
• German Federal Financial Supervisory Authority Expands Special Representative’s Mandate
• Minor amendment to the Swiss Financial Market Supervisory Authority Ordinance on Data Processing
• Central Bank of Ireland Publishes Warning on Unauthorized Investment Firm
• Joint statement by United Kingdom and U.S. Authorities on Continuity of Derivatives Trading and Clearing Post-Brexit
• China Securities Regulatory Commission Issues Notice to Solicit Public Opinion on the Guidelines for Products of Managers for Management (MOM) of Securities Fund Operators (Draft for Comments)
• China Securities Regulatory Commission Issues Notice to Solicit Public Opinion on the Supervision and Administrative Measures for the Sales Agencies of Publicly Offered Securities Investment Funds (Draft for Comments) and Related Supporting Rules
• U.S. Federal Reserve Board Permanently Bars Former Employee of J.P. Morgan Chase & Co. from the Banking Industry
• Video Social Networking App Musical.ly Agrees to Settle U.S. Federal Trade Commission Allegations that it Violated Children’s Privacy Law
• Shanghai Stock Exchange Propels Set-up of Science – Technology Innovation Board and Pilot Registration-based IPO System

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• Hong Kong Securities and Futures Commission Issues Circular to Announce New Licensing Forms and Mandatory Electronic Submission of Annual Returns and Notifications
• Hong Kong Securities and Futures Commission Issues Restriction Notices to Three Brokers to Freeze Client Accounts Related to Suspected Market Misconduct
• Hong Kong Securities and Futures Commission Revokes W. Falcon Asset Management (Asia) Limited’s License
• Court of First Instance Dismisses Judicial Review Application Against Hong Kong Securities and Futures Commission
• The Stock Exchange of Hong Kong Limited Publishes Consultation Conclusions on Proposed Changes to Documentary Requirements and Other Minor Rule Amendments
• The Stock Exchange of Hong Kong Limited’s Announcement – in Relation to the Matter of China Fiber Optic Network System Group Limited (in Liquidation) Cancellation of Listing
• Hong Kong Monetary Authority Announces Global Financial Innovation Network to Invite Applications for Testing Innovative Products
• Hong Kong Monetary Authority Issues Circular on Remote On-boarding of Individual Customers
• Hong Kong Monetary Authority Issues Circular on Interest Rate Risk in the Banking Book: Frequently Asked Questions
• Hong Kong Monetary Authority Issues Circular on Self-assessment of Compliance with the Code of Banking Practice 2018
• China Eyes Further Opening-up in Updated Draft Foreign Investment Law
• U.S. Securities and Exchange Commission Charges Founder of Online Gaming Company Defrauding Investors
• U.S. Securities and Exchange Commission Charges Former Senior Attorney at Apple With Insider Trading
• U.S. Securities and Exchange Commission Charges Deloitte Japan With Violating Auditor Independence Rules
• U.S. Securities and Exchange Commission Extends Comment Period for Rulemaking Proposal Regarding Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
• U.S. Financial Industry Regulatory Authority Inc. Announces Three Materially New Risk Monitoring and Examination Priorities
• Monetary Authority of Singapore Allows Banks to Delay Implementation of E-Payment User Protection Guidelines
• Monetary Authority of Singapore’s Responses to Public Inquiry about “Can Remittance Companies Lend Money”
• Monetary Authority of Singapore Sets Up Corporate Governance Advisory Committee to Promote Good Corporate Governance
• Nanyang Technological University Singapore and WeBank Set up Fintech Research Center
• Financial Conduct Authority of the United Kingdom Launches Consultation on General Insurance Value Measures Data
• Financial Conduct Authority of the United Kingdom Proposes New Measures to Encourage Effective Stewardship
• Financial Conduct Authority of the United Kingdom Outlines How It Would Use the Temporary Transitional Power
• Financial Conduct Authority of the United Kingdom Agrees Memoranda of Understanding with European Securities and Markets Authority and European Union Regulators to Allow Cooperation and Exchange of Information
• Financial Conduct Authority of the United Kingdom Publishes its New Rules Following its Asset Management Market Study
• Financial Conduct Authority of the United Kingdom Fines Former Fund Manager Paul Stephany
• European Securities and Markets Authority Agrees No-deal Brexit Memoranda of Understanding with the Bank of England for Recognition of UK Central Counterparties and UK Central Securities Depository
• Australian Securities and Investments Commission Announces its Preparation for Brexit
• International Organization of Securities Commissions Seeks Public Opinion on Proposed Recommendations Related to Sustainable Finance
• British Virgin Islands Government Announces Legislation Passed to Address European Union’s Economic Substance Concerns
• Financial Reporting Council of Nigeria Publishes Nigerian Code of Corporate Governance 2018
• UAE Abu Dhabi Global Market Undertakes Public Consultation on Revisions to Its Anti-Money Laundering Regime
• Hong Kong Financial Services Development Council Releases Report on Enhancing Mandatory Provident Fund System in Hong Kong
• Shanghai Stock Exchange Issues Notice to Solicit Public Opinion on the Establishment of the Sci-Tech Innovation Board and Piloting the Registration System

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• The Stock Exchange of Hong Kong Limited Publishes Results of Latest Review of Issuers’ Annual Report Disclosure
• Hong Kong Securities and Futures Commission Announces New Measures to Update its Licensing Processes
• Luxembourg Law Requires Establishment of Register of Beneficial Owners of Companies
• German Federal Financial Supervisory Authority Holds Consultation on Interpretative Guidance of the Bank Separation Act
• China Securities Regulatory Commission Solicits Public Consultation for the Measures for the Administration of Domestic Securities and Futures Investment by Qualified Foreign Institutional Investors and Renminbi Qualified Foreign Institutional Investors (Consultation Paper) and the Supporting Rules
• Hong Kong Monetary Authority Issues Circular on Handling Procedures for Following up Mis-transfer of Funds
• Hong Kong Privacy Commissioner for Personal Data Advocates Data Ethics and Privacy Management Accountability
• Seychelles Financial Services Authority Reminds Keeping of Accounting Records by International Business Companies
• U.S. Securities and Exchange Commission Charges Four Public Companies with Longstanding Internal Control over Financial Reporting Failures
• U.S. Securities and Exchange Commission Wins US$1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme
• Singapore Exchange Regulation Proposes to Strengthen Audit and Valuation Rules
• Shanghai Stock Exchange Issues “Measures for Pilot Management of Credit Protection Instrument Business” and the Supporting Rules
• Shanghai Stock Exchange Reports on Handling of SSE-listed Companies’ Violations in Information Disclosure in 2018
• South Africa Releases Consultation Paper on Crypto Assets
• Canada Business Corporations Act Amends the Requirements Regarding Beneficial Ownership of Privately-owned Corporations
• Bank of Russia Announces Measures Aimed at Improving Financial Stability of Moscow Industrial Bank
• European Banking Authority Publishes Report on Crypto-assets
• European Central Bank Publishes Single Code of Conduct for High-level Officials
• European Securities and Markets Authority Publishes Advice on Initial Coin Offerings and Crypto-assets
• European Union Modernizes Company Law Rules Adapted to the Digital Era
• European Union Adopts Electronic Communications Reform
• European Council Agrees Position on New Regulatory and Supervision Framework for Investment Firms
• Financial Conduct Authority of United Kingdom Consults on Cryptoassets Guidance
• South Africa Financial Sector Conduct Authority Warns the Public against Wig Markets
• Hong Kong Companies Registry Announces Commencement of the Companies (Amendment) (No. 2) Ordinance 2018 regarding Housekeeping Changes
• Hong Kong Exchanges and Clearing Limited Enhances Designated Specialist Programme for Exchange Traded Products
• Hong Kong Special Administrative Region and Mainland Sign Arrangement on Reciprocal Recognition and Enforcement of Judgments in Civil and Commercial Matters
• International Monetary Fund Commends Hong Kong’s Strong Buffers and Prudent Policy Frameworks for Ensuring Continued Stability
• Hong Kong Monetary Authority Issues Circular on Basel Committee’s Revised Market Risk Standards
• The Stock Exchange of Hong Kong Limited Publishes Consultation Conclusions on Proposed Changes to Review Structure for Listing Committee Decisions
• International Organization of Securities Commissions Publishes a Statement on Disclosure of Environmental, Social and Governance Matters by Issuers
• International Organization of Securities Commissions Issues Good Practices to Assist Audit Committees in Supporting Audit Quality
• London Stock Exchange Trading Technolog Selected by ATOM Group to Power the AAX Digital Asset Exchange
• Monetary Authority of Singapore Revises Code on Take Overs and Mergers to Clarify Application for Dual Class Share Companies
• Monetary Authority of Singapore Halts Securities Token Offering for Regulatory Breach
• U.S. Securities and Exchange Commission Emergency Action Charges Texas Real Estate Developer for Multi-Million U.S. Dollar Offering Fraud
• Hong Kong Market Misconduct Tribunal Sanctions China AU Group Holdings Limited’s Former CEO and Related Persons for False Trading
• Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Revised Financial Return
• Hong Kong Securities and Futures Commission, Hong Kong Exchanges and Clearing Limited and the Federation of Share Registrars Limited Launch Joint Consultation on Revised Model for an Uncertificated Securities Market
• Highlights of Speech by Loh Boon Chye, Singapore Exchange CEO, at Nikkei Forum on Building a Digital Marketplace for Capital
• Shenzhen Stock Exchange Improves Stock Pledged Repo Mechanism to Foster a Better Market Environment for Risk Alleviation
• United Arab Emirates Securities and Commodities Authority Launches its Capital Market Sustainability Plan
• Large United Kingdom Listed Companies Required to Apply New Executive Pay Transparency Measures

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• Hong Kong Securities and Futures Commission Reprimands and Fines FWD Life Insurance Company (Bermuda) Limited HK$2.4 million for Regulatory Breaches
• Hong Kong Securities and Futures Commission Publishes Updated Frequent Asked Questions Relating to Open-ended Fund Companies
• Hong Kong Securities and Futures Commission Issues Restriction Notices to Three Brokers to Prohibit Order Placing in Listed Derivative Warrants in Client Accounts Linked to Suspected Market Misconduct
• Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations and Associated Entities for the Launch of Revamped Business and Risk Management Questionnaire and New Online Portal
• Hong Kong Securities and Futures Commission and Commission de Surveillance du Secteur Financier Sign Memorandum of Understanding on Luxembourg-Hong Kong Mutual Recognition of Funds
• Hong Kong Monetary Authority Announces the Implementation Banking (Securitization) Code
• Hong Kong Monetary Authority, Research Bureau of People’s Bank of China and Hong Kong Green Finance Association Co-organized “Green Finance in Action” Study Tour
• Hong Kong Competition Commission Conducts Investigation into “Hong Kong Seaport Alliance”
• Twelve Companies Prosecuted by Hong Kong Companies Registry for Failing to Keep Significant Controllers Register at Their Registered Offices
• Hong Kong Communications Authority Conducts a Review of the Class License for Offer of Telecommunications Services
• Hong Kong Communications Authority Conducts Review of the Class License for Offer of Telecommunications Services
• Monetary Authority of Singapore Launches New S$75 Million Grant to Enhance Singapore’s role as an Enterprise Financing Hub
• Financial Conduct Authority of the United Kingdom Announces Notification Window for the Temporary Permissions Regime Open
• Financial Conduct Authority of United Kingdom Publishes Further Consultations Preparing the Regulatory Regime for Brexit
• Financial Conduct Authority of the United Kingdom Issues a Letter to Regulated Firms Relating to the Use of Financial Promotions
• Singapore Exchange Partners with China-Singapore (Chongqing) Demonstration Initiative on Strategic Connectivity Administrative Bureau to Deepen Ties in Western China
• Singapore Infocomm Media Development Authority Launches Initiatives to Accelerate Digitalization to Benefit Small and Medium Enterprises
• China’s First Intellectual Property Asset-backed Securities Product Issued on Shanghai Stock Exchange
• Shanghai Stock Exchange Issues Notice on “SSE Business Guidelines on Suspension and Resumption of Shares Trading of Listed Companies for Planning Major Issues”
• Shenzhen Stock Exchange Revises Convertible and Exchangeable Bond Trading Rules to Replace Multi-account Subscription with Single-account Subscription
• Shenzhen Stock Exchange Publishes Trading Suspension/Resumption Guidance to Maintain Market Fairness
• Shenzhen Stock Exchange Provides Responses on the Implementation Rules of Shenzhen Stock Exchange on the Share Repurchase of Listed Companies
• The Netherlands Publishes List of Low-tax Jurisdictions in Fight against Tax Avoidance
• Cyprus Securities and Exchange Commission Issues Guidance and Clarification Concerning Alternative Investment Fund Managers Directive Reporting Obligations
• Canada’s Competition Bureau and Defense Construction Canada Collaborate to Ensure Competitive Procurement Processes
• Office of the Privacy Commissioner of Canada Imposes More Robust Guidelines on Consent for Personal Information
• Philippines Securities and Exchange Commission Requests for Comments on the Updated Proposed Rules on Initial Coin Offering
• Australian Securities and Investments Commission Suspends Halifax Investment Services Pty Ltd License
• India’s Companies (Amendment) Ordinance 2018 Replaced by 2019 Ordinance
• U.S. Securities and Exchange Commission Brings Charges Against Hacker and Several Traders and Related Entities in Edgar Hacking Case

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• The Stock Exchange of Hong Kong Limited Updates Frequently Asked Questions Series 17 Regarding Corporate Governance Requirements
• Hong Kong Securities and Futures Commission Publishes Review of The Stock Exchange of Hong Kong Limited’s Performance in Regulating Listing Matters
• Hong Kong Court of First Instance Grants Orders Sought by Hong Kong Securities and Futures Commission against Boiler Room Fraudsters to Compensate Investors
• Hong Kong Securities and Futures Commission Reprimands and Fines Ardon Maroon Fund Management (Hong Kong) Limited HK$800,000 for Cross Trade Related Failures
• Hong Kong Exchanges and Clearing Limited in 2018: Year in Review
• Hong Kong Monetary Authority Reprimands and Fines JPMorgan Chase Bank, National Association, Hong Kong Branch for Contraventions of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
• Hong Kong Privacy Commissioner for Personal Data Releases Inspection Report on Personal Data Systems of Private Tutorial Services Industry to Encourage Organizations in Enhancing Data Stewardship and Sharing Mutual Fairness, Respect and Benefit with Customers
• JPMorgan Chase Bank N.A. to Pay More Than US$135 Million to Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
• U.S. Securities and Exchange Commission Charges Two Robo-Advisers with False Disclosures
• Financial Conduct Authority of the United Kingdom Fines Santander UK Plc £32.8 Million for Serious Failings in Its Probate and Bereavement Process
• Hong Kong Exchanges and Clearing Limited Enhances Designated Specialist Program for Exchange Traded Products
• China Consults Public Opinion on Draft Foreign Investment Law
• United Arab Emirates Issues Decree-Law on Foreign Direct Investment

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