HKEx published a consultation paper seeking feedback on a proposal to allow corporate entities to benefit from WVR, which at present can only be held by individuals.
Archived Post for "Hong Kong Law"
Latest SFC Decisions Against SFC Licensed Corporations and Unlicensed and SFC Licensed Individuals for Compliance Failures under the Securities and Futures Ordinance
The SFC has published updates on over ten disciplinary actions and related prosecutions between mid-December 2019 and mid-February 2020 regarding compliance failures under the SFO
HKEX/SFC Guidance on Financial Results Publication amid Corona Virus Travel Restrictions
HKEx and the SFC issued guidance to listed issuers and their auditors on the requirements for financial results publication in light of travel restrictions related to the corona virus.
SFC Issues Licensing Guidance for Hong Kong Private Equity firms and Family offices
Download the PDF Download the Word On 7 January 2020, the Securities and Futures Commission (SFC) announced[1] the publication of two SFC circulars providing guidance on the SFC licensing obligations of private equity firms (Hong Kong private equity firms)...
HKEx Consultation Conclusions on Review of the ESG Reporting Guide and ESG Listing Rules
Download the PDF Download the Word On 18 December 2019, the Stock Exchange of Hong Kong Limited (HKEx) published its Consultation Conclusions: Review of the Environmental, Social and Governance Reporting Guide and Related Listing Rules with respect to its...
SFC Publishes Consultation Paper on Amending the Regime for Open-Ended Fund Companies
Download the PDF Download the Word On 20 December 2019, the Securities and Futures Commission (SFC) announced the publication of a Consultation Paper on Proposed Enhancements to the Open-ended Fund Companies (OFC) Regime. The consultation is open...
SFC Survey on Integrating Environmental, Social and Governance Factors and Climate Risks in Asset Management
Download the PDF Download the Word The Securities and Futures Commission (SFC) has published the findings of its Survey on Integrating Environmental, Social and Governance (ESG) Factors and Climate Risks in Asset Management which investigated how, and to...
SFC Guidance on Disclosure by HKEx-listed Companies and to Licensed Fund Managers on Dubious Private Funds
Download the PDF Download the Word On 21 November 2019, the Securities and Futures Commission (SFC) issued a Statement on the Disclosure of Actual Controllers or Beneficial Owners of Counterparties to a Transaction[1] and a Circular to Licensed...
SFC Circular on Licensed Corporations’ Use of External Electronic Data Storage
Download the PDF Download the Word Licensed Corporations’ Compliance with Statutory Record-Keeping Obligations Scope of the Circular on Licensed Corporations’ Use of External Electronic Data Storage Requirements for Regulatory Records Kept Exclusively with an External...
HKEx Enhances Guidance for Overseas Listing Applicants
Download the PDF Download the Word Alternative Procedures for U.S. ‘Domestic Issuers’ that are not ‘Reporting Issuers’ Listing on HKEx Template for HKEx Acceptable Jurisdiction Applications Updated CCASS Information Materials Enhanced guidance materials aimed at...