Hong Kong Law Archive:

SFC and HKMA Publish Consultation Conclusions and Supplemental Consultation on the Regulation of OTC Derivatives

The global financial crisis in late 2008 highlighted the structural deficiencies in the over-the-counter (OTC)...

Stock Exchange Consults on Listing Rule Amendments Consequential to Issuers Statutory Obligation to Disclose Price Sensitive Information

Following the enactment of the Securities and Futures (Amendment) Ordinance 2012 (the Amendment Ordinance), Hong...

Hong Kong Stock Exchange Consults on Allowing Publication of PSI During Trading Hours Subject to Trading Halts

Hong Kong Exchanges and Clearing Limited (the Exchange) has published a consultation paper (Consultation Paper)...

SFC Publishes Consultation Conclusions on Amendments to the Code of Conduct

In May 2012, the Securities and Futures Commission (SFC) published its consultation conclusions (Consultation Conclusions)...

Hong Kong Stock Exchange Publishes Guidance on Listed Issuers Continuous Disclosure Obligations and on Disclosure of Distributorship Business Models in Listing Documents

In a letter published on 10 May 2012, the Stock Exchange of Hong Kong Limited...

Hong Kong Stock Exchange Publishes Guidance Letter on Profit Forecasts under Main Board Rules and Gem Rule

The Stock Exchange of Hong Kong (Exchange) published on 8 May 2012 a guidance letter...

Securities and Futures Commission Publishes Consultation Paper on the Regulation of Sponsors

The Securities and Futures Commission (SFC) published a consultation paper (Consultation Paper) in May 2012...

Statutory Regime for Disclosure of Price Sensitive Information

The new statutory regime governing listed corporations' (corporations) disclosure of price sensitive information (referred to...

Hong Kong Stock Exchange Issues Guidance on Hard Underwriting Disclosure and SFC Fines Investors for Illegal Short Selling and SFC Fines and Revokes Licence of An IPO Sponsor

Hong Kong Exchanges and Clearing Limited (HKEx) has issued a new guidance letter HKEx-GL34-12 (Guidance...

New Anti-Money Laundering and Counter-Terrorist Financing Requirements for SFC Licensed Corporations

New statutory customer due diligence (CDD) and record-keeping obligations for financial institutions were implemented by...