SFC Issues New Guidance on compliance with licensed intermediaries’ obligation to ensure the suitability of investment products for clients
Archived Post for "Hong Kong Law"
New SFC Measures to Increase the Accountability of Licensed Corporations’ Senior Management
SFC Circular Introduces New Measures to Increase the Accountability of Licensed Corporations’ Senior Management and Imposes New Reporting Requirements
SFC Consults on Proposals to Tighten Regulation of Fund Managers and Point-of-sale Disclosure
SFC Consultation Paper Proposes Tightening Regulation of Hong Kong Fund Managers and Increasing their Point-of-Sale Disclosure Obligations – comments should be submitted by 17.02.2017
HKEX Issues Guidance on “Ownership and Control” Requirement for Listing Applicants and Issues Relevant to Controlling Shareholders (HKEx-GL89-16)
New HKEx Guidance Letter GL89-16 clarifies its “controlling shareholder” definition in light of the “ownership continuity and control” requirement and controlling shareholders’ post-listing obligations.
Rights Issues and Open Offers that Significantly Dilute Minority Shareholding Interests Face Closer SFC and HKEx Scrutiny
The Securities and Futures Commission and the Stock Exchange of Hong Kong have said they will pay closer attention to rights issues and open offers that significantly dilute minority interests.
Shenzhen-Hong Kong Stock Connect to Launch on 5 December 2016
Shenzhen-Hong Kong Stock Connect (Shenzhen Connect) launches on Monday, 5 December 2016. Modelled on the Shanghai-Hong Kong Stock Connect scheme (Shanghai Connect) that has been in place since November 2014, …
HKEX/SFC Joint Consultation: Proposed Enhancements to the Stock Exchange of Hong Kong Limited’s Decision-making and Governance Structure for Listing Regulation
Meta Yoast Description: HKEX governance consultation covers listing regulation, SFC powers, IPO process, and measures on back-door listings.
SFC Reprimands and Fines HSBC HK$2.5 Million Over Regulatory Breaches
SFC Reprimands and Fines HSBC HK$2.5 Million for Breaches of Reportable Position Limit for HSCEI Futures and Options and Inadequate Measures to Ensure Compliance
Shenzhen-Hong Kong Stock Connect Gets Green Light
The China Securities Regulatory Commission and the Securities and Futures Commission published a joint announcement approving, in principle, the establishment of the Shenzhen-Hong Kong Stock Connect scheme.
SFC Publishes 2015 Fund Management Activities Survey
The Securities and Futures Commission has published its Fund Management Activities Survey for 2015. This annual survey covers licensed corporations, registered institutions and insurance companies in Hong Kong.