• 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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