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.
Archived Post for "Hong Kong Law"
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.
Hong Kong SFC Requires Enhanced Disclosure for Green or ESG Retail Funds
SFC issues circular requiring enhanced disclosure for ESG funds, aiming to improve transparency and comparability of sustainable investment products.
Hong Kong SFC Imposes HK$27 mln Fine for Sponsor Due Diligence Failures
SFC fines China Merchants HK$27M for IPO sponsor due diligence failures, highlighting ongoing crackdowns on Hong Kong listing misconduct.
HKEx to Suspend Listed Issuers for Audit Disclaimers and Adverse Opinions
HKEX announces suspension of listed issuers facing audit disclaimers or adverse opinions to safeguard market integrity.
Financial Reporting Council can Access PRC Audit Working Papers
Download the PDF Download the Word On 22 May 2019, Hong Kong’s Financial Reporting Council (FRC) signed a Memorandum of Understanding with the Supervision and Evaluation Bureau (SEB) of China’s Ministry of Finance (MOF), giving the FRC access to the audit working...