HKEx’s research report highlights the potential for development of Mainland-HK ETF market connectivity to boost both markets given demand from Mainland investors for greater access to globalised assets and global investors’ interest in accessing ETFs on Mainland assets.
Archived Post for "Hong Kong Law"
SFC Fines HSBC for Code of Conduct Breaches
SFC fined HSBC for its internal control failure to ensure timely detection of any failure of the recording function of its telephone lines which breached Paragraph 3.9(b) of the SFC Code of Conduct.
HKEx Listing Rules: HKEx Consultation on Codifying Waivers and Principles for HKEx IPOs and Listed Issuers
HKEX issued a consultation paper on codifying IPO waivers, principles for listed issuers, and introducing minor rule amendments.
New Listing Rules on Backdoor Listings Effective 1 October
The Stock Exchange of Hong Kong published its Consultation Conclusions on Proposed Rule Changes Associated with Backdoor Listing, Continuing Listing Criteria and other Rule Amendments on 26 July 2019.
HKEx Report on the CES HK Biotechnology Index
Due to the increasing number of letters of concern sent in 2017-2018, SFC issued a reminder to directors on their statutory and legal duties in corporate acquisitions and disposals.
Onboarding Clients Online: Changes to SFC’s Code of Conduct Para 5.1
The remote onboarding of clients by SFC licensed intermediaries is facilitated by amendments to paragraph 5.1 of the Securities and Futures Commission’s (SFC) Code of Conduct for Persons Licensed by …
New HKEx Listing Decision Review Structure and Appointment of First Listing Review Committee
The Stock Exchange of Hong Kong Limited has announced the names of the members of its new Listing Review Committee, the sole review body for decisions of HKEx’s independent Listing Committee as of 6 July 2019.
SFC Reminds Listed Companies of Duties on Corporate Acquisitions and Disposals
Due to the increasing number of letters of concern sent in 2017-2018, SFC issued a reminder to directors on their statutory and legal duties in corporate acquisitions and disposals.
HKEx Amends Russia Country Guide for International Companies
The Russia Country Guide has thus been amended to extend its application to Russian international companies. Russian company seeking to list in Hong Kong was only able to list depositary receipts on Hong Kong’s Main Board.
Hong Kong SFC Issues New Guidance on Selling Complex Products
The SFC issued a Circular on 13 June 2019 informing licensed and registered intermediaries of new FAQs setting out further guidance on the regulatory requirements for sales of complex products in Hong Kong.