• Hong Kong Securities and Futures Commission Publishes Latest Takeovers Bulletin
• Hong Kong Securities and Futures Commission Concludes Consultation on Securities Margin Financing
• Former Director of DBA Telecommunication (Asia) Holdings Limited Convicted of Issuing False or Misleading Announcement in a Prosecution Brought by Hong Kong Securities and Futures Commission
• Hong Kong Securities and Futures Commission Commences Insider Dealing Prosecution against Legal Adviser
• Hong Kong Securities and Futures Commission Publishes Guidance on Enhanced Disclosures for Green or Environmental, Social and Governance Funds
• Hong Kong Securities and Futures Commission Publicly Criticizes Kwok Tse Wah for Breaches of Code on Takeovers and Mergers
• International Finance Corporation and Hong Kong Monetary Authority Strengthen Commitment to Green and Sustainable Finance Through Groundbreaking Agreements
• Hong Kong Monetary Authority Announces to Launch Enhanced Competency Framework on Credit Risk Management
• Hong Kong Monetary Authority Issues Circular on Qualifying Deferred Annuity Policy
• Hong Kong Monetary Authority Grants the 4^th Virtual Banking License
• Insurance Authority of Hong Kong Publishes List of Deferred Annuity Products Qualified for Tax Deduction
• Highlights of the Speech by Hong Kong Privacy Commissioner for Personal Data on Use of Personal Data in Digital Era
• An Insurance Agent Convicted of Using Personal Data in Direct Marketing without Consent Stemming from a Complaint Received by the Office of the Privacy Commissioner for Personal Data, Hong Kong
• U.S. Securities and Exchange Commission and Financial Conduct Authority of the United Kingdom Sign Updated Supervisory Cooperation Arrangements
• U.S. Securities and Exchange Commission Charges Fresenius Medical Care AG & Co KGaA With Foreign Corrupt Practices Act Violations
• U.S. Securities and Exchange Commission Charges Former CEO of Silicon Valley Startup with Defrauding Investors
• Strategic Hub for Innovation and Financial Technology of U.S. Securities and Exchange Commission Publishes Framework for “Investment Contract” Analysis of Digital Assets
• U.S. Securities and Exchange Commission Charges Transportation Company Executives with Accounting Fraud
• U.S. Securities and Exchange Commission Charges Former SeaWorld Associate Inc. General Counsel with Insider Trading
• U.S. Securities and Exchange Commission Brings Actions Against Fifteen Unregistered Brokers for Their Participation in an Illegal Offering of Microcap Securities
• European Commission and Monetary Authority of Singapore Decide to Strengthen Cross-border Derivatives Trading
• Cambodia and Singapore Strengthen Cooperation in FinTech Innovation
• Financial Conduct Authority of the United Kingdom Fines Goldman Sachs International £34.3 million for Transaction Reporting Failures
• Financial Conduct Authority of the United Kingdom Confirms Final Rules for Firms in the Event of a No-deal Brexit
• Financial Conduct Authority of United Kingdom Confirms Permanent Ban on the Sale of Binary Options to Retail Consumers
• Financial Conduct Authority of United Kingdom Begins Regulating Claims Management Companies
• Highlights of Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at Financial Conduct Authority of United Kingdom at London Stock Exchange on Effective Stewardship
• Upper Tribunal Publishes Decision on Linear Investments Limited in Relation to Penalty Imposed by Financial Conduct Authority of the United Kingdom
• Financial Conduct Authority of the United Kingdom Publishes Instructions for Accessing and Downloading Its Financial Instruments Transparency System Files
• Financial Conduct Authority of United Kingdom Warns General Insurance Firms Failing to Consider Value of the Products and Services Provided to Consumers
• Financial Conduct Authority of the United Kingdom Fines Standard Chartered Bank £102.2 million for Poor Anti-Money Laundering Controls
• Shenzhen Stock Exchange Answers Questions from Reporters on the Notice on Adjustment to Transaction Methods for Listed Bonds
• Shenzhen Stock Exchange Answers Questions from Reporters on the Business Guidelines for Credit Protection Instruments and Credit Protection Contracts
• Greater Bay Area Indexes Are Launched to Boost High Quality Development of Greater Bay Area
• Shanghai Stock Exchange Answers Questions on Acceptance of Companies’ Applications for Listing on Science and Technology Innovation Board
• European Securities and Markets Authority Focus on New International Financial Reporting Standards and Non-financial Information
• European Securities and Markets Authority Publishes Translations for Guidelines on Central Counterparty Conflict of Interest Management
• European Securities and Markets Authority Updates Questions and Answers on Market in Financial Instruments Regulation Data Reporting
• Australian Securities and Investments Commission Publishes Report on Consumers Confusing Different Types of Financial Advice
• Australian Prudential Regulation Authority and Australian Securities and Investments Commission Publish World-leading Life Insurance Data
• Australian Securities and Investments Commission Re-issues Practical Guidance for Foreign Financial Services Providers
• Australian Securities and Investments Commission Welcomes Approval of New Laws to Protect Financial Service Consumers
• Financial Conduct Authority of the United Kingdom and Australian Securities and Investments Commission Agree to Strengthen Cooperation Post-Brexit
• International Organization of Securities Commissions Publishes Report on Behavioral Insights Seeking to Enhance Retail Investor Protection
• Cyprus Securities and Exchange Commission Issues Circular on Compliance Officers’ Annual Reports and Internal Audit Reports
• Cyprus Securities and Exchange Commission Outlines the Main Priorities and Supervisory Activities for 2019
• Italian Companies and Exchange Commission Publishes Communication on the Protection of Investors of United Kingdom Financial Intermediaries Operating in Italy After the withdrawal of the United Kingdom from the European Union
• United Arab Emirates Abu Dhabi Global Market Forms Strategic Cooperation with China Hainan Provincial Government on Financial Development and Growth of Hainan Free Trade Zone
• Securities and Exchange Board of India Clarifies Transfer of Securities Held in Physical Mode
• China Securities Regulatory Commission Signs Memorandum of Understanding Regarding Cooperation on Innovation in the Financial Sector with the Autorité des Marchés Financiers
• European Banking Federation Supports the Fight against Financial Fraud & Crime
• Hong Kong Exchanges and Clearing Limited Signs Memorandum of Understanding with Hebei Provincial Government
• Singapore Exchange Pioneers Interest Rate Derivatives on Japan Repo

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• Hong Kong Securities and Futures Commission Reprimands and Fines BOCI Securities Limited HK$10 Million for Regulatory Breaches in Selling Investment Products
• Hong Kong Securities and Futures Commission Issues Circular on Implementation of Online Platform Guidelines and Offline Requirements for Complex Products
• Hong Kong Securities and Futures Commission Issues Restriction Notices to Nine Brokers to Freeze Client Accounts Linked to Suspected Market Manipulation of China Ding Yi Feng Holdings Limited Shares
• Hong Kong Securities and Futures Commission Publishes Statement on Security Token Offerings
• Highlights of the Speech by Mr Ashley Alder, Chief Executive Officer of Hong Kong Securities & Futures Commission, at Bloomberg BuySide Summit 2019 on “Greening the Financial System”
• The Stock Exchange of Hong Kong Limited’s Announcement Relating to Cloud Investment Holdings Limited – Cancellation of Listing
• The Stock Exchange of Hong Kong Limited Updates and Streamlines Guidance Materials
• The Stock Exchange of Hong Kong Limited Publishes its Latest Listing Committee Report
• The Stock Exchange of Hong Kong Limited Publishes Guidance on Reasons for Rejected Listing Applications in 2018
• Hong Kong Monetary Authority Issues Circular on a Statement on Crypto-assets Issued by the Basel Committee on Banking Supervision
• Hong Kong Monetary Authority Issues Circular on Updating the Supervisory Policy Manual module CR-G-14
• Hong Kong Monetary Authority Welcomes a Hong Kong Bank Launching Remote Onboarding Service for Opening Mainland Bank Accounts
• Hong Kong Monetary Authority Issues Code of Practice Chapter in Relation to Financial Institutions (Resolution) (Loss-absorbing Capacity Requirements – Banking Sector) Rules
• Hong Kong Monetary Authority Issues Circular on Implementation Arrangements on the Enhanced Investor Protection Measures for Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products
• Hong Kong Monetary Authority Grants Virtual Banking Licenses
• U.S. Securities and Exchange Commission Charges Volkswagen AG and Former CEO With Defrauding Bond Investors During “Clean Diesel” Emissions Fraud
• U.S. Securities and Exchange Commission Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
• U.S. Securities and Exchange Commission Adopts Rules to Modernize and Simplify Disclosure Requirements
• U.S. Securities and Exchange Commission Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds
• Merrill Lynch, Pierce, Fenner & Smith Incorporated Pays Over US$8 Million to Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
• U.S. Depository Trust & Clearing Corporation Outlines Guiding Principles for Post-Trade Processing of Tokenized Securities
• U.S. Commodity Futures Trading Commission and Monetary Authority of Singapore Publish Joint Statement Regarding the Mutual Recognition of Certain Derivatives Trading Venues in the United States and Singapore
• Monetary Authority of Singapore Sets out Enforcement Outcomes and Priorities in Inaugural Enforcement Report
• China Adopts Foreign Investment Law
• Financial Conduct Authority of the United Kingdom Publishes a Statement in Relation to Endorsement of Credit Ratings from the European Union into the United Kingdom in the Event of a No-deal Brexit
• Prudential Regulation Authority and Financial Conduct Authority of the United Kingdom Agree Memorandum of Understanding with European Banking Authority
• Financial Conduct Authority of the United Kingdom Proposes Changes for Customers to Get More Affordable Mortgage
• Financial Conduct Authority of the United Kingdom Acts to Improve Competition in the Investment Platforms Market
• Financial Conduct Authority of the United Kingdom Fines UBS AG £27.6 Million for Transaction Reporting Failures
• Financial Conduct Authority of the United Kingdom Introduces United Kingdom Benchmarks Register
• Serious Fraud Office of the United Kingdom Opens Investigation into London Capital & Finance Plc
• European Securities and Markets Authority Publishes a Statement on Application of the Trading Obligation for Shares Following a No-Deal Brexit
• European Securities and Markets Authority Agrees to Renew Restrictions on Marketing, Distribution or Sale of Contracts for Differences for a Further Three Months
• Australian Securities and Investments Commission Extends Relief Provided for Business Introduction Services
• Australia Develops Blockchain Roadmap and Strategy
• Canadian Securities Administrators Consult on Regulatory Framework for Crypto-asset Trading Platforms
• Cyprus Securities and Exchange Commission Reforms Investor Compensation Fund to Enhance Investor Protection
• Cyprus Securities and Exchange Commission Reminds Regulated Entities on Notification Deadline for Financial Conduct Authority of the United Kingdom’s Temporary Permissions Regime
• Italian Companies and Exchange Commission Publishes Communication on Obligations of Both British Intermediaries Operating in Italy and Vice-Versa on No-Deal Brexit
• Italian Companies and Exchange Commission Publishes Communication on Over the Counter Derivative Contracts and Trading Venues
• Dubai Financial Services Authority signs a Memorandum of Understanding with Morocco’s Bank Al Maghrib on Authorization and Supervision of Banks Across Borders
• Belgium Approves the New Code of Companies and Associations
• Swiss Financial Market Supervisory Authority Launches Consultation on the New Accounting Standards for Banks
• German Federal Financial Supervisory Authority Publishes Information Regarding Investment Funds from the United Kingdom
• Securities and Exchange Board of India Issues Circular on Clarification on participation of Eligible Foreign Investors in Commodity Derivatives in International Financial Services Centre
• Autorité des Marchés Financiers Launches a Consultation on Proposed Measures to Prohibit and Restrict Marketing Binary Options and Contract for Difference Products
• European Commission Welcomes European Parliament’s Vote in Favor of Modernized Copyright Rules Fit for Digital Age
• Insurance Authority of Hong Kong Consults on the Proposed Codes of Conduct for Licensed Insurance Agents and Licensed Insurance Brokers
• Singapore Exchange Expands Foreign Exchange Growth Pillar with Strategic Investment in BidFX
• Singapore Securities Investors Association and Institute of Directors Publish Guide on Best Practices for Shareholder Meetings
• Shenzhen Stock Exchange and Luxembourg Stock Exchange Launch the Green Fixed Income Information Channel

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• Hong Kong Securities and Futures Commission Fines UBS Securities Hong Kong Limited HK$375 Million and Suspends its License for One year for Sponsor Failures
• Hong Kong Securities and Futures Commission Reprimands and Fines Morgan Stanley Asia Limited HK$224 Million for Sponsor Failures
• Hong Kong Securities and Futures Commission Reprimands and Fines Merrill Lynch Far East Limited HK$128 Million for Sponsor Failures
• Hong Kong Securities and Futures Commission Reprimands and Fines Standard Chartered Securities (Hong Kong) Limited HK$59.7 million for Sponsor Failures
• Hong Kong Securities and Futures Commission Seeks Disqualification Orders against Former Directors of Luxey International (Holdings) Limited
• Hong Kong Securities and Futures Commission Issues Announcement in Respect of High Concentration of Shareholding in Grand Investment International Limited
• The Stock Exchange of Hong Kong Limited’s Announcement – in Relation to the Matter of Zhongda International Holdings Limited Cancellation of Listing
• The Stock Exchange of Hong Kong Limited Publishes Exchange Notice – Suspension of Trading in Relation to China Ding Yi Feng Holdings Limited
• Hong Kong Exchanges and Clearing Limited Signs Licence Agreement with MSCI to Launch MSCI China A Index Futures
• Hong Kong Monetary Authority Issues Circular on Reform of Interest Rate Benchmarks
• Hong Kong Privacy Commissioner for Personal Data Releases Study Report on Implementation of Privacy Management Program by Data Users
• BB&T Securities Settles U.S. Securities and Exchange Commission Charges to Return More Than US$5 Million to Retail Investors and Pay Penalty
• Mobile TeleSystems PJSC Settles U.S. Securities and Exchange Commission Charges of Foreign Corrupt Practices Act Violations
• Wedbush Securities Inc. Settles U.S. Securities and Exchange Commission Charges of Failure to Supervise
• U.S. Securities and Exchange Commission Charges Lumber Liquidators Holdings Inc. with Fraud
• U.S. Securities and Exchange Commission Share Class Initiative Returning More Than US$125 Million to Investors
• Monetary Authority of Singapore Answers Questions from the Committee of Supply: Cuts on Grant for Equity Market, Corporate Governance and Sustainable Financing
• Monetary Authority of Singapore Consults on Proposed Enhancements to Technology Risk and Business Continuity Management Guidelines
• Highlights of Speech by Mr Daniel Wang, Executive Director, Monetary Authority of Singapore at 19^th Asia CEO Insurance Summit on the Issues and Challenges Surrounding Technological Change and Digitization in the Insurance Sector
• Director of Shenzhen Stock Exchange Research Institute Answers Questions from Reporters on the Study of Effective Capital Formation in the Guangdong-Hong Kong-Macao Greater Bay Area
• Shenzhen Stock Exchange Spokesperson Answers Questions from Reporters on Self-regulatory and Disciplinary Measures Taken Against SZSE-listed Companies in 2018
• Shenzhen Stock Exchange Issues a Development Index of Private Enterprises to Facilitate their Healthy Development
• Shanghai Stock Exchange Focuses on Regulation in Disclosure and Review of Annual Reports
• Questions and Answers on Shanghai Stock Exchange Issuing Supporting Rules and Guidelines for Launching Science-Technology Innovation Board and Piloting Registration-based IPO System
• Questions and Answers on Securities Companies Authorizing Clients to Trade Stocks on Shanghai Stock Exchange’s Sci-Tech Innovation Board
• China Releases Rules on Science and Technology Innovation Board and Pilot Registration-based IPO System
• Financial Conduct Authority of the United Kingdom Releases Updated Guidance on European Union Departure Preparations
• Financial Conduct Authority of the United Kingdom Confirms Proposals in the Event of a No-deal Brexit
• Financial Conduct Authority of the United Kingdom Calls on Firms to Act Following Review of Costs and Charges Disclosure in the Investment Sector
• Financial Conduct Authority of the United Kingdom Publishes Statements of Policy on the Operation of the MiFID Transparency Regime
• Financial Conduct Authority of the United Kingdom Confirms Introduction of Rent-to-own Price Cap
• Bank of England and Financial Conduct Authority Agree Memoranda of Understanding with European Insurance and Occupational Pensions Authority and European Union Insurance Supervisors
• Financial Conduct Authority of the United Kingdom Action Delivers £80 Million Savings in Fees for Credit Card Customers
• Financial Conduct Authority of the United Kingdom Welcomes Independent Review into Access to Cash
• Financial Conduct Authority of the United Kingdom Reveals Findings from First Cryptoassets Consumer Research
• Prudential Regulation Authority and Financial Conduct Authority of the United Kingdom Host the First meeting of the Joint Climate Financial Risk Forum
• Financial Conduct Authority of the United Kingdom Issues Statement on the Reporting of Derivatives under the UK European Market Infrastructure Regulation Regime in a No-deal Scenario
• Financial Conduct Authority of the United Kingdom Confirms Increase in Financial Ombudsman Service Award Limit
• Financial Conduct Authority of the United Kingdom Financial Instruments Reference Data System Opens for Firms to Test Publication
• Highlights of Speech by Steven Maijoor, Chair of European Securities and Markets Authority at the FinTech Conference 2019 on Crypto-assets
• European Securities and Markets Authority Sets out its Approach to Several MiFID II/MiFIR and Benchmark Provisions under a No-deal Brexit
• European Securities and Markets Authority Recognizes the United Kingdom Central Securities Depository in the Event of a No-deal Brexit
• European Council Adopts Reform on Reducing Charges on Cross-border Payments and Increasing Transparency on Currency Conversion Charges
• European Central Bank Sanctions Sberbank Europe AG for Breaching Large Exposure Limits in 2015
• Australian Securities and Investments Commission Consults on Coverage of ePayments Code Review
• Australian Securities Exchange Corporate Governance Council Releases the Fourth Edition Corporate Governance Principles and Recommendations
• Cyprus Securities and Exchange Commission Requests Regulated Entities to Submit Information of Contact Details
• Cyprus Securities and Exchange Commission Issues Circular on Guidance on Identifying, Assessing and Understanding the Risk of Terrorist Financing in Financial Centers
• Italian Companies and Exchange Commission Published Warning Concerning Non-Financial Declarations
• Emirates Securities and Commodities Authority, Financial Services Regulatory Authority of Abu Dhabi Global Market and Dubai Financial Services Authority Launch Fund Passporting Legislation Enabling UAE-Wide Promotion of Investment Funds

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• 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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• The Stock Exchange of Hong Kong Limited Issues FAQ on Treatment of Leases as Impacted by HKFRS / IFRS 16
• The Stock Exchange of Hong Kong Limited Introduces E-training for Listed Companies’ Directors
• Hong Kong Securities and Futures Commission Issues Circular to Intermediaries on Distribution of Complex and High-risk Products
• Hong Kong Securities and Futures Commission Issues Quarterly Report
• Hong Kong Securities and Futures Commission Issues Circular on Clearing Amendment Rules – Addition of Eight New Calculation Periods
• Hong Kong Securities and Futures Commission Suspends Chan Ho Wai and Lam Wai Kit for Nine Months for Misconduct in Issuing Research Reports
• Hong Kong Securities and Futures Commission Bans Kong Kar Bong for 10 Years for Theft and Forgery
• Hong Kong Securities and Futures Commission Concludes Consultation on OTC Derivatives and Conduct Risks – Addition of Types 11 and 12 Regulated Activities
• Hong Kong Securities and Futures Commission Announces Agreement to Enhance the Exchange of Information under Stock Connect
• Hong Kong Securities and Futures Commission Issues Circular in Relation to the Clearing and Record Keeping Rules for the OTC Derivatives Regime – Changes to the List of Persons Designated as Financial Services Providers
• Hong Kong Securities and Futures Commission Commences Proceedings in Market Misconduct Tribunal against CMBC Capital Holdings Limited and Its Former Directors for Late Disclosure of Inside Information
• Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Review of Internal Controls for the Protection of Client Assets and Supervision of Account Executives
• Hong Kong Securities and Futures Commission and China Securities Regulatory Commission Hold High-level Meeting on Enforcement Cooperation
• Consensus Reached by Shanghai, Shenzhen and Hong Kong Stock Exchanges on Inclusion of Weighted Voting Rights (WVR) Companies in Southbound Trading of Stock Connect
• The GEM Listing Committee of The Stock Exchange of Hong Kong Limited Censures L & A International Holdings Limited and a Number of Its Current and Former Directors for Breaching the GEM Listing Rules and/or the Director’s Undertaking regarding Improper Grant of Options
• The Listing Committee of The Stock Exchange of Hong Kong Limited Criticizes Chen Xing Development Holdings Limited for Breaching the Listing Rules and Censures a Number of Its Current Directors for Breaching the Director’s Undertaking regarding Investment in Wealth Management Products
• The Listing Committee of Stock Exchange of Hong Kong Limited Censures Shenji Group Kunming Machine Tool Company Limited and a Former Director for Breaching the Listing Rules and/or the Director’s Undertaking regarding Improper Disclosure in Announcements
• The Listing Committee of Stock Exchange of Hong Kong Limited Censures Golden Meditech Holdings Limited and Two of Its Directors and The Listing (Disciplinary Review) Committee on Review Criticizes Four of Its Current and Former Directors for Breaching the Listing Rules and/or the Director’s Undertaking regarding Notifiable Transactions
• The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of Anxin-China Holdings Limited
• Hong Kong Monetary Authority Issues an Update on the Processing of Virtual Banking Applications
• HKMC Annuity Plan Introduces Enhancement Measures and Continuous Sales Model
• International Monetary Fund Commends Hong Kong’s Strong Buffers and Robust Policy Frameworks Despite Increasing Global Risks
• Insurance Authority of Hong Kong and Office of Insurance Commission of Thailand Sign Memorandum of Understanding
• U.S. Securities and Exchange Commission Halts Alleged Insider Trading Ring Spanning Three Countries
• Highlights of Speech by Steven Peikin, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission on the Salutary Effects of International Cooperation on Enforcement
• Three Broker-Dealers to Pay More Than US$6 Million in Penalties to U.S. Securities and Exchange Commission for Providing Deficient Blue Sheet Data
• U.S. Securities and Exchange Commission Charges Agria Corporation and Executive Chairman With Fraud
• U.S. Securities and Exchange Commission Charges The Hain Celestial Group with Internal Controls Failures
• Three Developers Settle U.S. Securities and Exchange Commission Charges of Fraudulent EB-5 Offering
• Executives Settle U.S. Securities and Exchange Commission Charges on Initial Coin Offering Scam
• U.S. Securities and Exchange Commission Charges Former New York Investment Advisor and Daughter with Conducting a Ponzi Scheme
• Shenzhen Stock Exchange Improves Corporate Bond Regulations to Boost Sound Development of Bond Market
• Bank of New York Mellon to Pay More Than US$54 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 Charges Former Panasonic Executives for Breaching Federal Securities Law
• Financial Conduct Authority of the United Kingdom Proposes Permanent Measures for Retail Contracts for Difference and Binary Options
• Financial Conduct Authority of the United Kingdom Proposes Changes to Facilitate Investment in Patient Capital
• Financial Conduct Authority of the United Kingdom Publishes New Rules for Claims Management Companies to Boost Consumer Protection and Professionalism
• Financial Conduct Authority of the United Kingdom Publishes Findings on Long-term Mortgage Arrears
• Australian Securities and Investments Commission Consults on Measures to Restrict Offers to Retail Investors of Stub-equity in Proprietary Companies

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• China Securities Regulatory Commission and Hong Kong Securities and Futures Commission Sign Memorandum of Understanding to Enhance Supervisory Cooperation and Exchange of Information of Cross-Boundary Regulated Entities
• Hong Kong Securities and Futures Commission and China Securities Regulatory Commission Hold Joint Training on Digital Forensics
• Highlights of Speech by Mr. Brian Ho, Executive Director, Corporate Finance of the Hong Kong Securities & Futures Commission, at the 12th Annual Conference of the Hong Kong Investment Funds Association on “Corporate Conduct – Two Years into Front-loaded Regulation”
• Highlights of Speech by Mr. Ashley Alder, Chief Executive Officer of Hong Kong Securities and Futures Commission at HKSI Institute Roundtable Luncheon on New Approach to Regulation
• Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations and Associated Entities Encouraging the Use of e-STR for Suspicious Transaction Reporting
• Hong Kong Securities and Futures Commission Commences Market Misconduct Tribunal Proceedings against Health and Happiness (H&H) International Holdings Ltd and its Chairman for Late Disclosure of Inside Information
• Hong Kong Securities and Futures Commission Reprimands and Fines SFM HK Management Limited HK$1.5 Million Over Naked Short Selling
• Hong Kong Securities and Futures Commission Concludes Consultation on Amendments to the Code on Unit Trusts and Mutual Funds
• Hong Kong Privacy Commissioner for Personal Data Receives Credit Data Breach Notification from TransUnion Limited
• Hong Kong Insurance Authority Consults on the Financial and Other Requirements for Licensed Insurance Broker Companies
• Hong Kong Insurance Authority Publishes Annual Report 2017-18
• Monetary Authority of Singapore Finalized New Regulatory Framework to Enhance Payment Services in Singapore
• Monetary Authority of Singapore and Shanghai Municipal Financial Regulatory Bureau Set to Strengthen Financial Linkages
• Monetary Authority of Singapore Announces New S$30 Million Grant to Enhance Cybersecurity Capabilities in Financial Sector
• Singapore Exchange Regulation Proposes Changes to Listings Review Process and Regulation of Issue Managers
• U.S. Securities and Exchange Commission Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accounts
• U.S. Securities and Exchange Commission Charges Self-Described Promoter with Microcap Market Manipulation Scheme
• Two Celebrities Charged by U.S. Securities and Exchange Commission with Unlawfully Touting Coin Offerings
• Shanghai Stock Exchange Implements China Securities Regulatory Commission’s Guiding Opinions, Accelerates Revision of Rules for Trading Suspension and Resumption
• Shanghai Stock Exchange Continues to Optimize and Improve the Stock Connect Mechanism
• Shanghai Stock Exchange Issues New Rules on Compulsory Delisting for Serious Violations
• Shenzhen Stock Exchange Severely Cracks down on Illegal Possession of Funds by Controlling Shareholders and De Facto Controllers of Listed Companies
• Shenzhen Stock Exchange Holds the 2018 IT Symposium to Promote the Digital Transformation and Development of the Capital Market
• Shenzhen Stock Exchange Issues Guidelines Against High-Ratio Bonus Issue and Stock Dividend Distribution
• Financial Conduct Authority of United Kingdom Announces New Settlement Internalization Reporting Requirement
• Financial Conduct Authority of the United Kingdom Proposes Introduction of Price Cap on Rent-to-Own Firms to Protect Vulnerable Consumers from High Costs
• Highlights of Speech by Christopher Woolard, Executive Director of Strategy and Competition at the Financial Conduct Authority of the United Kingdom on Regulation of Cryptoassets
• Financial Conduct Authority of the United Kingdom Publishes Decision Notice against Former CEO of Sonali Bank (UK) Ltd for Anti-money Laundering Failings
• SIX Swiss Exchange Hosts World’s First Crypto Index ETP Listing by Amun
• Australian Securities and Investments Commission Urges Financial Advisers to Ensure Registration by December 31, 2018
• Highlights of Speech by Cathie Armour, Commissioner, Australian Securities and Investments Commission on Recent Initiatives to Strengthen Underwriting Standards

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• Highlights of Speech by Mr. John Price, Commissioner, Australian Securities and Investments Commission on “Whistleblowing – New Rules, New Policies, New Vision”
• Hong Kong Securities and Futures Commission Announces Thematic Review of Remote Booking, Operational and Data Risk Management Practices
• Hong Kong Securities and Futures Commission Sets Out New Regulatory Approach for Virtual Assets
• Highlights of the Speech by Mr. Ashley Alder, Chief Executive Officer of Hong Kong Securities and Futures Commission at Hong Kong FinTech Week 2018 on the Regulatory Response to the Growing Importance of Financial Technology
• Hong Kong Court of Final Appeal Unanimously Dismisses Appeal by Solicitor and his Sisters in Fraud Case Brought by Hong Kong Securities and Futures Commission Involving Overseas Listed Securities
• The Stock Exchange of Hong Kong Limited Publishes Its Latest Review of Listed Issuers’ Corporate Governance Practices and Updates Its Guidance Material on Environmental, Social and Governance Reporting
• Hong Kong Monetary Authority Issues Warnings about Mobile Applications (Apps) on Personal Financial Management
• Hong Kong Privacy Commissioner for Personal Data Initiates Enforcement Investigation on Cathay Pacific Airways Limited’s Data Breach Incident
• Bank Indonesia and Monetary Authority of Singapore Establish US$10 Billion Bilateral Financial Arrangement
• Monetary Authority of Singapore Initiates Business Sans Borders to Foster Small and Medium-sized Enterprises Digitization
• Monetary Authority of Singapore Introduces New Fairness, Ethics, Accountability and Transparency Principles to Promote Responsible Use of Artificial Intelligence and Data Analytics
• Monetary Authority of Singapore Proposes New Regulatory Sandbox with Fast-Track Approvals
• The Bank of Canada, Bank of England and Monetary Authority of Singapore Share Assessment on Emerging Opportunities for Digital Transformation in Cross-border Payments
• Singapore Exchange Strengthens Partnerships in China with the Signing of Two Memorandums of Understanding
• Singapore Exchange Regulation Proposes Changes to Delisting Rules
• Monetary Authority of Singapore and Singapore Exchange Successfully Leverage Blockchain Technology for Settlement of Tokenized Assets
• Singapore Exchange to Launch New Securities Settlement and Depository System T+2 Securities Settlement Cycle on December 10, 2018
• Bank of China Limited, China Foreign Exchange Trade System & National Interbank Funding Center and Singapore Exchange Sign Strategic Cooperation Agreement on CFETS-BOC Bond Indices
• U.S. Securities and Exchange Commission Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
• U.S. Securities and Exchange Commission Charges EtherDelta Founder With Operating an Unregistered Exchange
• Stock Research Firm and Co-Founders Charged with Deceiving Investors in Supposedly Unbiased Reports by U.S. Securities and Exchange Commission
• U.S. Securities and Exchange Commission Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics
• U.S. Securities and Exchange Commission Charges Giga Entertainment Media, Former Officers and Directors with Fraud in Pay-For-Download Campaign
• Two Initial Coin Offerings Issuers Settle U.S. Securities and Exchange Commission’s Registration Charges and Agree to Register Tokens as Securities
• Shanghai Stock Exchange Formulates Relevant Business Rules to Support Listed Companies’ Legal Shares Repurchases
• Shanghai Stock Exchange and Japan Exchange Group Sign a Memorandum of Understanding on Closer Cooperation to Promote China-Japanese ETF Connect
• Financial Conduct Authority of the United Kingdom Launches Cost Transparency Initiative on Charges Payable by Institutional Investors
• The United Kingdom’s Upper Tribunal Upholds the Financial Conduct Authority’s Decision to Fine and Ban Former Keydata Investment Services Ltd Executives
• European Securities and Markets Authority Launches Call for Evidence on Periodic Auctions for Equity Instruments
• European Securities and Markets Authority Consults on Future Guidelines for Money Market Funds’ Disclosure

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• European Securities and Markets Authority’s Focus on New International Financial Reporting Standards and Non-financial Information in Issuers’ 2018 Annual Reports
• Financial Conduct Authority of United Kingdom Fines Liberty Mutual Insurance Europe SE £5.2 Million for Failures in its Oversight of Mobile Phone Insurance Claims and Complaints Handling
• Hong Kong Monetary Authority and Monetary Authority of Macao Jointly Promote the Enhanced Competency Framework for Banking Practitioners in Macao
• Hong Kong Monetary Authority’s Launch of eTradeConnect and the Collaboration with we.trade
• Hong Kong Monetary Authority Promotes in Tokyo Hong Kong’s Leading Platform as an International Financial Center and Gateway of China
• Hong Kong Monetary Authority Strengthening the Verification Requirements for Electronic Wallets Setting Up Direct Debit Authorizations
• GEM Listing Committee of The Stock Exchange of Hong Kong Limited Censures Sino Splendid Holdings Limited for Breaching the GEM Listing Rules and Censures or Criticizes a Number of its Current Directors for Breaching the Director’s Undertaking
• Hong Kong Insurance Authority Consults the Public on Proposed Guideline on Pecuniary Penalties for Licensed Insurance Intermediaries
• Hong Kong Insurance Authority Consults on the Maximum Number of Insurers to be Represented by a Licensed Individual Agent or Agency
• Monetary Authority of Singapore and China Securities Regulatory Enhance Capital Markets Cooperation
• Inaugural Singapore-Chongqing Financial Summit Unlocks Opportunities for Regional Financial and Infrastructure Connectivity
• Hong Kong Privacy Commissioner for Personal Data Expresses Serious Concern on Cathay Pacific Airways Data Breach Incident
• Hong Kong Privacy Commissioner for Personal Data Releases Research Report to Advocate Respect and Beneficial and Fair Data Ethics Stewardship Management Value and Models
• U.S. Securities and Exchange Commission Charges Family Friend of Former Investment Banker with Insider Trading
• U.S. Securities and Exchange Commission Charges Investment Adviser with Running US$3.9 Million Fraud
• Citibank N.A. Pays More Than US$38 Million to Settle U.S. Securities and Exchange Commission’s Charges of Improper Handling of “Pre-released” American Depositary Receipts

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• The Listing Committee of The Stock Exchange of Hong Kong Limited Censures NNK Group Limited and a Number of its Current and Former Directors for Breaching the Listing Rules and/or the Director’s Undertaking for Failing to Make Proper Disclosure in Prospectus
• The Stock Exchange of Hong Kong Limited’s Announcement in Relation to Cancellation of Listing of China Annual Healthcare Limited
• The Stock Exchange of Hong Kong Limited’s Announcement in Relation to Cancellation of Listing of Han Tang International Holdings Limited
• Hong Kong Companies Registry Issues Circular on Translation and Certification of Documents under the Companies Ordinance
• Securities and Futures Commission of Hong Kong Concludes Consultation on Amendments to Anti-money Laundering and Counter-financing of Terrorism Guidelines
• Hong Kong Court of Final Appeal Allows Securities and Futures Commission’s Appeal against Market Misconduct Tribunal’s Decision Regarding Insider Dealing in Asia Telemedia Limited Shares
• The Securities and Futures Commission of Hong Kong Concludes Further Consultation on Financial Resources Rules
• Indonesia and Singapore Strengthen Cooperation in FinTech
• The Securities and Futures Commission of Hong Kong Encourages the Public to Report Fraud and Misconduct
• Shenzhen Stock Exchange Signs Strategic Cooperation Agreement to Facilitate Sino-Norwegian Cooperation on Technological Innovation
• Shenzhen Stock Exchange Signs Memorandums of Understanding with Moscow Exchange and Warsaw Stock Exchange
• Notice on Public Consultation for the Interim Measures Regarding the Listing and Trading of Depository Receipts under the Stock Connect Scheme between Shanghai Stock Exchange and London Stock Exchange
• Financial Conduct Authority of the United Kingdom Opens a Discussion on the Impact of Climate Change and Green Finance on Financial Services
• U.S. Securities and Exchange Commission Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls
• U.S. Securities and Exchange Commission Launches New Strategic Hub for Innovation and Financial Technology
• U.S. Securities and Exchange Commission Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers

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• Highlights of the Speech by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of the Hong Kong Securities and Futures Commission, at 2018 Refinitiv Pan Asian Regulatory Summit on Addressing Misconduct in Capital Markets
• Hong Kong Securities and Futures Commission Concludes Consultation on the Offline Sale of Complex Products
• Hong Kong Securities and Futures Commission Issues Circular to Remind Intermediaries Use of “Nominees” and “Warehousing” Arrangements in Market and Corporate Misconduct
• Hong Kong Securities and Futures Commission Froze the Assets of An Unnamed Chairman of a Listed Company on Suspicion of Fraud
• Hong Kong Securities and Futures Commission and the Financial Conduct Authority of the United Kingdom Sign Memorandum of Understanding on United Kingdom-Hong Kong Mutual Recognition of Funds
• U.S. Securities and Exchange Commission Obtains Final Judgment Against Former Nomura Securities International’s Residential Mortgage Backed Securities Trading Supervisor
• Elon Musk Settles U.S. Securities and Exchange Commission Fraud Charges; Tesla Charged with and Resolves Securities Law Charge
• China’s Ministry of Finance Issues Renminbi Sovereign Bonds through Central Moneymarkets Unit of Hong Kong Monetary Authority
• U.S. Securities and Exchange Commission Charges Stryker Corporation A Second Time for Foreign Corrupt Practices Act Violations
• Credit Suisse Securities (USA) LLC Agrees to Pay US$10 Million to Settle U.S. Securities and Exchange Commission’s Charges Related to Handling of Retail Customer Orders
• Singapore Exchange Launches New FTSE ST Singapore Shariah Index
• Hong Kong Insurance Authority Consults on Proposed Guidelines on (i) “Fit and Proper” Criteria and (ii) Continuing Professional Development Requirements for Licensed Insurance Intermediaries
• Monetary Authority of Singapore Issues Guidelines to Facilitate Provision of Digital Advisory Services
• Monetary Authority of Singapore’s Cyber Security Advisory Panel Proposes Ways to Enhance Financial Sector Cyber Resilience
• Financial Conduct Authority of the United Kingdom Fines Tesco Bank £16.4m for Failures in 2016 Cyber Attack
• Highlights of the Speech by Mr. Fang Xinghai, Vice Chairman of China Securities Regulatory Commission, at the FTSE Russell 2018 China A Share Evaluation Results Press Release and Seminar

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• Hong Kong Monetary Authority Launches Faster Payment System
• China’s Amendments to the Individual Income Tax Law and Its Implication for Hong Kong
• The Stock Exchange of Hong Kong Limited Issues Consultation Paper on Proposal relating to Trading Suspension of Listed Issuers with Disclaimer or Adverse Audit Opinion on Financial Statements
• U.S. Securities and Exchange Commission Charges Biopharmaceutical Company, Executives with Misleading Investors about Cancer Drug
• U.S. Securities and Exchange Commission Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
• Hong Kong Securities and Futures Commission Reprimands and Fines Huatai Financial Holdings (Hong Kong) Limited HK$800,000 Over Naked Short Selling
• Hong Kong Securities and Futures Commission Bans Ngo Wing Chun for Misappropriation of Customer Data upon Change of Employment
• Highlights of the Speech by Mr Ashley Alder, Chief Executive Officer of the Hong Kong Securities & Futures Commission at Hong Kong Investment Funds Association Luncheon with Updates on the Commission’s Asset Management Strategy for Hong Kong
• Highlights of the Speech by Mr Carlson Tong, Chairman of the Hong Kong Securities & Futures Commission at Hong Kong General Chamber of Commerce Seminar with Updates on the Commission’s New Regulatory Approach to Tackle Corporate Governance Problems And Listed Company Misconduct
• Hong Kong Securities and Futures Commission Announces Green Finance Strategic Framework
• Singapore Exchange Proposes New “Trade At Close” Session for Securities Market
• Petrobras Reaches Settlement with U.S. Securities and Exchange Commission for Misleading Investors

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• Hong Kong Court of Final Appeal Dismisses Moody’s Appeal Against the Determination of the Securities and Futures Appeals Tribunal on March 31, 2016 which Affirmed the Securities and Futures Commission’s Decision to Reprimand and Fine Moody’s for Breaching the Code of Conduct in its Preparation and Publication of a Special Comment Report in 2011
• Hong Kong Securities and Futures Commission Issues Reminder to Intermediaries about Compliance with Notification Requirement under Rule 12.5 of the Code of Conduct
• The Hong Kong Monetary Authority Designates Two Retail Payment Systems
• Hong Kong Exchanges and Clearing Limited’s US Dollar Gold Futures Receive Approval in Taiwan
• The China Securities Regulatory Commission and Relevant Departments Propose to Improve the Share Repurchase System of Listed Companies via Consultation on Amendment to the Company Law of the People’s Republic of China
• The Monetary Authority of Singapore Consults on Measures to Strengthen Cyber Resilience of Financial Institutions
• U.S. Securities Exchange Commission Awards More Than US$54 Million to Two Whistleblowers
• Highlights of the Speech by Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities and Futures Commission at Hong Kong Chinese Enterprises Association Seminar with Update on the Commission’s Supervision Approach
• Hong Kong Financial Services Development Council’s Response to the Securities and Futures Commission’s Consultation on Anti-Money Laundering and Counter-Terrorist Financing Guidelines

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• Launch of Investor Identification System for Northbound Trading under Mainland-Hong Kong Stock Connect
• Hong Kong Exchanges and Clearing Limited Announces Details of Launch of the Investor Identification Model for Northbound Trading through its Mutual Stock Market Access Program with the Exchanges in Shanghai and Shenzhen on September 17, 2018
• The Hong Kong Securities and Futures Commission Reprimands and Fines HPI Forex Limited HK$2 Million for Regulatory Breaches
• The Stock Exchange of Hong Kong Limited Publishes Frequently Asked Questions on Listing Regime for Companies from Emerging and Innovative Sectors
• Hong Kong Securities and Futures Commission’s Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter Financing of Terrorism (AML/CFT) – AML/CFT Measures and Controls Inspection Findings
• The Stock Exchange of Hong Kong Limited Publishes Conclusions from its Consultation on Exempting Aircraft Leasing Activities from its Notifiable Transactions Rules
• Hong Kong Securities and Futures Commission Bans Fonia Kwok Lai Kwan for 12 Months Following her Conviction for Unlicensed Asset Management
• Hong Kong Monetary Authority Welcomes the Full Implementation of Delivery versus Payment (DvP) Settlement in Bond Connect
• China Securities Regulatory Commission Publishes (1) Decision on Amending Administrative Measures for Securities Registration and Settlement and (2) Decision on Amending Measures for the Administration of Equity Incentives of Listed Companies
• China Securities Regulatory Commission Launches Administrative Measures for Foreign-Funded Futures Companies
• Monetary Authority of Singapore and Singapore Exchange Partner Anquan, Deloitte and Nasdaq to Harness Blockchain Technology for Settlement of Tokenized Assets
• U.S. Securities and Exchange Commission Adopts Amendments to Simplify and Update Disclosure Requirements
• Merrill Lynch Settles U.S. Securities and Exchange Commission’s Charges of Undisclosed Conflict in Advisory Decision

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• Hong Kong Insurance Authority and China Banking and Insurance Regulatory Commission Implement Preferential Treatment to Promote the Development of Hong Kong Reinsurance Industry
• Circular on Hong Kong Securities and Futures Commission Disciplinary Fining Guidelines
• The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Review Structure in Relation to Listing Committee Decisions
• Hong Kong Monetary Authority Reprimands and Fines Shanghai Commercial Bank Limited for Contraventions of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
• Hong Kong Securities and Futures Commission Bans Cham Nga Yin for Life
• Hong Kong Market Misconduct Tribunal Finds China AU Group Holdings Limited’s Former CEO and Related Persons Culpable of Market Manipulation
• Singapore Exchange Welcomes the Listing of Asia’s First Infrastructure Project Finance Securitization Notes
• Monetary Authority of Singapore Accepts Recommendations from Corporate Governance Council and Issues Revised Code of Corporate Governance
• U.S. Securities and Exchange Commission Charges Mizuho Securities USA LLC for Failure to Safeguard Customer Information
• Highlights of the Speech by the Secretary for Financial Services and the Treasury Bureau of Hong Kong at Asia Pacific Loan Market Association Annual Syndicated Loan Market Conference
• Highlights of the Speech by the Secretary for Financial Services and the Treasury Bureau of Hong Kong at 2018 Annual Conference of In-House Lawyers
• Highlights of the Speech by the Secretary for Financial Services and the Treasury Bureau of Hong Kong at 17th Hong Kong Venture Capital and Private Equity Association China Private Equity Summit

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• Hong Kong Monetary Authority Launches Open Application Programming Interface Framework for the Banking Sector
• The Listing Committee of The Stock Exchange of Hong Kong Limited Criticizes Sre Group Limited for Breaching the Exchange Listing Rules, and Censures A Former Executive Director and Chairman, Mr. Shi Jian, for Breaching the Exchange Listing Rules and The Director’s Undertaking
• U.S. Securities and Exchange Commission Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
• U.S. Securities and Exchange Commission Charges Deutsche Bank AG for Improper Handling of American Depositary Receipts Singapore Exchange Proposes to Enhance Default Management Capabilities of Derivatives and Securities Clearing Houses
• U.S. Securities and Exchange Commission Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems
• Singapore Exchange Enables Listing at Earlier Development Stage for Mineral, Oil and Gas Companies
• Singapore Exchange Regulation Pte. Ltd. Reprimands Dapai International Holdings Co. Ltd., Executive Chairman Chen Xizhong, Former Chief Executive Officer Chen Yong and Former Chief Financial Officer Lawrence Lam Pong Sui for Breaches of Listing Rules and Delisted the Company
• Singapore Securities Industry Council Consults on Amendments to Singapore Code on Take-Overs and Mergers to Clarify its Application to Companies with a Dual Class Share Structure
• Hong Kong Securities and Futures Commission Implements Open-ended Fund Companies Regime
• Hong Kong Securities and Futures Commission Publicly Censures Liang Guosheng and Imposes A Cold-Shoulder Order for Breach of the Takeovers Code
• The Stock Exchange of Hong Kong Limited Publishes Corporate Governance Code Consultation Conclusions and Guidance for Boards and Directors
• Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Internal Models Approach for Market Risk
• Hong Kong Securities and Futures Commission Cautions Against Disguised Margin Financing

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