Download the PDF Download the Word The SFC issued a Position Paper: Regulation of Virtual Asset Trading Platforms (SFC Position Paper) on 6 November 2019, setting out new regulations for licensing cryptocurrency exchanges with a strong emphasis on investor...
Archived Post for "Hong Kong Law"
Hong Kong SFC Issues Crypto Fund Licensing Conditions for Hong Kong Crypto Fund Managers
SFC licensing conditions for managers of funds whose stated investment objective is investing in virtual assets, or intending to invest 10% of a fund’s GAV in virtual assets
HKEx Reports on Hong Kong ETF Market as a Door to Global Investment
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.
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.