• Australian Securities and Investments Commission Releases Report on Director and Officer Oversight of Non-financial Risk
• European Banking Authority Consults on its Proposals to Create a Simple, Transparent and Standardized Framework for Synthetic Securitization
• Financial Conduct Authority of the United Kingdom Confirms New Rules for Certain Open-Ended Funds Investing in Inherently Illiquid Assets
• Financial Conduct Authority of the United Kingdom Updates its Directions under the Temporary Transitional Power
• Swiss Financial Market Supervisory Authority Finds HNA Group in Breach of Disclosure Obligations
• New Zealand Financial Markets Authority Seeks Feedback on Responsible Investment Products
• Hong Kong Exchanges and Clearing Limited Expands Coverage of Closing Auction Session for its Securities Market
• Hong Kong Exchanges and Clearing Limited Publishes Announcement not to proceed with the Offer for London Stock Exchange Group PLC
• Hong Kong Insurance Authority Authorizes First Non-life Virtual Insurer under Fast Track
• The Stock Exchange of Hong Kong Limited Updates Guidance Materials
• The Listing Committee of The Stock Exchange of Hong Kong Limited Criticizes Yashili International Holdings Limited for Breaching the Listing Rules
• Two Automakers Pay US$40 Million to Settle U.S. Securities and Exchange Commission Charges for Misleading Investors
• Herbalife Nutrition Ltd. Pays US$20 Million to Settle U.S. Securities and Exchange Commission Charges for Misleading Investors
• U.S. Securities and Exchange Commission Orders Blockchain Company to Pay US$24 Million Penalty for Unregistered Initial Coin Offering of Digital Tokens
• U.S. Securities and Exchange Commission Adopts New Rule to Allow All Issuers to “Test-the-Waters”
• U.S. Securities and Exchange Commission Announces to Simplify Volcker Rule
• Hong Kong Securities and Futures Commission Bans a Former Licensed Representative of Sun Hung Kai Investment Services Limited for 30 Months
• Hong Kong Securities and Futures Commission Reprimands and Fines SEAVI Advent Ocean Private Equity Limited HK$1 Million
• Hong Kong Securities and Futures Commission Seeks Disqualification Orders against Former Chairman and Executive Directors of Inno-Tech Holdings Limited
• Hong Kong Securities and Futures Commission Concludes Consultation on the Enhanced Investor Compensation Regime
• Hong Kong Securities and Futures Commission Issues Circular on Terms and Conditions for Licensed Corporations which Manage Portfolios that Invest in Virtual Assets
• Hong Kong Securities and Futures Commission Seeks Compensation and Disqualification orders against Perfect Optronics Limited’s Chairman and Board Members
• Hong Kong Securities and Futures Commission Proposes to Regulate Trustees and Custodians of Public Funds
• Hong Kong Securities and Futures Commission Issues Restriction Notices to a Broker to Freeze Client Accounts Related to a Corporate Officer’s Suspected Breach of Duties
• Hong Kong Securities and Futures Commission Releases Frequently Asked Questions on its Guidelines for Securities Margin Financing Activities
• Hong Kong Securities and Futures Commission Takeovers and Mergers Panel does not Permit Broadford Global Limited to Deduct Dividend from Offer Price
• Shenzhen Stock Exchange Revises ETF Implementation Rules to Promote Sound Development of its ETF Market

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