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
Archived Post for "Hong Kong Law"
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.
Hong Kong And Russia Double Taxation Agreement Comes Into Force
The Russia – Hong Kong agreement for the avoidance of double taxation and the prevention of fiscal evasion with respect to taxes on income signed on 18 January 2016 came into force on 29th of July 2016.
SFC CEO Mr. Ashley Alder’s Remarks at Hedge Fund Standards Board Institutional Investor Roundtable
CEO of the Securities and Futures Commission and chairman of the International Organization of Securities Commissions Ashley Alder addressed the Hedge Fund Standards Board Institutional Investors Roundtable.
Latest Guidance on Pooled Property Arrangements and Crowdfunding Property Investments
SFC guidance on collective investment schemes involving real property.
SFC Takeovers Bulletin No. 37 on Takeovers Code Breaches and Regulatory Reminders
The SFC took a number of disciplinary actions this quarter against companies such as Alibaba Group Holdings, China New Way Investment, Bank of America, National Association and Merrill Lynch International.
Joint Consultation Paper Issued on Proposed Changes to Hong Kong Listing Regulation
The Securities and Futures Commission and the HK Stock Exchange have issued a joint consultation paper on proposed changes to the decision-making and governance structure of listing regulation.
HKEx Publishes Guidance for Offshore Retail Funds Applying to List in Hong Kong
HKEX publishes guidance for offshore retail funds applying to list in Hong Kong, outlining requirements and opportunities.
Hong Kong Stock Exchange Publishes New Guidance on IPO Vetting and Suitability for Listing
HKEx publishes Guidance Letter HKEx-GL68-13A on IPO vetting and suitability for listing. It focuses on “shell” companies and sponsors’ need to be aware of all material issues relevant to an applicant’s suitability for listing.