The Hong Kong SFC suspended a licensed representative for 27 months for failing to disclose personal trading activities conducted through his niece’s securities accounts over nearly a decade.
Archived Post for "Hong Kong Law"
Hong Kong’s Strategic Pivot: Reading between the 2026/27 Budget Lines
Hong Kong finished 2025 as the world’s top IPO venue, raising US$37.4bn. Stock Connect trading hit record highs. Two HKEX reports reveal how record capital raising and cross-border flows reshaped markets.
Hong Kong Uncertificated Securities Market Regime – SFC Targets Launch on 16 November 2026
Hong Kong’s uncertificated securities market regime will go live on 16 November 2026. New listings must be paperless from day one. Existing issuers transition over five years. Intermediaries must prepare now.
SFC’s First Criminal Prosecution for Securities Fraud Involving Illegal Short Selling Transferred to District Court
Download the PDF Download the Word On 20 March 2026, the Eastern Magistrates’ Courts granted an application by the Department of Justice to transfer a securities fraud case brought by the Securities and Futures Commission (SFC) to the District Court for criminal...
Hong Kong Stock Exchange Reports: ECM and Stock Connect in 2025
Download the PDF Download the Word Two Sides of the Same Coin: How Record Capital Raising and Cross-Border Flows is Reshaping Hong Kong Markets Introduction If there is a single thread running through the Hong Kong Stock Exchange’s (HKEX) retrospectives on 2025, it is...
Governance Briefing for HKEX-listed Company Directors
Download the PDF Download the Word More Information, Less Clarity: Governing in the Age of Opacity There is, if one steps back from the daily churn of regulatory circulars and market data, a peculiar irony at the heart of modern corporate governance. Boards of...
Hong Kong Stock Exchange Publishes Listing Committee’s 2025 Report
HKEX 2025 Listing Committee Report outlines regulatory actions, market data, IPO growth, and reforms strengthening Hong Kong’s capital markets.
HKEX Launches Major Consultation on Listing Framework Reform
The HKEX has proposed major reforms to its listing framework, including changes to WVR thresholds, secondary listing requirements and confidential filing for all listing applicants.
Joint ICAC–SFC Operation Targets Bribery and Insider Dealing in Hong Kong’s Securities Sector
ICAC-SFC joint Operation Fuse targeted insider dealing and bribery by senior executives of SFC-licensed firms. A hedge fund allegedly profited HK$315M from leaked share placement information.
Hong Kong Takeovers Code Update
SFC announces Giordano settlement for concert party breaches and publishes Takeovers Bulletin No. 75 with guidance on EPT securities and submission protocols under the Hong Kong Takeovers Code.