In this issue:

- ASIAN DEVELOPMENTS

- HKEx publishes Amended Listing Rules to Complement the New IPO Sponsor Regime

- US DEVELOPMENTS

- SEC Developments

- Noteworthy US Securities Law Litigation

- Recent SEC/DOJ Enforcement Matters

- PCAOB Developments

- Other

- EU DEVELOPMENTS

- Opinion on ESMA’s Powers under the Short Selling Regulation

- Reporting under EMIR Delayed

- ESMA Publishes Third Country Advice on Equivalence

- ESMA Consults on the Clearing Obligation

- European Commission Adopts Two Delegated Regulations under EMIR

- ESMA Consults on Draft RTS for Derivatives with Extraterritorial Effect under EMIR

- RTS on CCP Colleges Published

- ESMA Publishes Updated FAQs on the Implementation of EMIR

- European Commission Publishes Further Proposals to Fight against Fraud

- European Parliament Committees Propose Amendments to the Gender Balance Directive

- ESMA Consults on Guidelines on Enforcement of Financial Information

- European Commission Amends Prospectus Regulation in relation to Convertible and Exchangeable Debt Securities

- Compromise Text Published on Proposed Statutory Audit Directive

- European Committee on the Internal Market and Consumer Protection Proposes Amendments to the Accounting Directives

- UK DEVELOPMENTS

- UK Legislation Implementing EMIR

- FCA Consults on Amendments to the FS Handbook

- ICSA Publish Revised Guidance On Matters Referred to Company Committees

- ISDX Publishes Amended Rules for Issuers and Corporate Advisers Handbook

- ABI Publish Report On Equity Capital Markets

- BIS Publishes Discussion Paper on Transparency and Trust

- Competition Commission Announces Provisional Remedies in Audit Market Investigation

- FCA Publishes Preliminary Guidance on Advancing Its Objectives

- Takeover Panel Publishes Response Statement on Amendments To Takeover Code Relating To Profit Forecasts, Quantified Financial Benefits Statements And Material Changes In Information

- ABI Publish Report on Shareholder Engagement

- Select Committee Report On Kay Review of UK Equity Market And Long-Term Decision Making

- UKLA Publishes Sixth Primary Market Bulletin

- Narrative Reporting: The New UK Strategic Report, Directors’ Remuneration Policy and Greenhouse Gas Emissions Reporting

- FCA Publishes Consultation Paper On Arrangements For Disclosure Of Regulated Information

- FCA Publishes Quarterly Consultation Paper

- DEVELOPMENTS SPECIFIC TO FINANCIAL INSTITUTIONS

- Global Developments

- EU Developments

- UK Developments

- Excerpt from: 8-week Moratorium on Returned Listing Applications:

A new applicant must submit a draft listing document (“Application Proof”) in both English and Chinese to the Stock Exchange together with the listing application. A sponsor is required to complete all reasonable due diligence on the applicant before submitting a listing application and the Application Proof must be substantially complete except for information that by its nature can only be finalized and incorporated at a later date. If the Stock Exchange returns a listing application on the basis that the Application Proof is not substantially complete, the applicant can only submit a new listing application after eight weeks.