Archived Post for "Hong Kong Law"

CFA has set a precedent that allows the SFC to enter into civil proceedings under s213 SFO and criminal market misconduct proceedings under Part XIV SFO with respect to the same incidence of market misconduct.

SFC has published a consultation paper on proposed amendments to the professional investor regime and to the client agreement requirements in relation to offering investment products to professional investors

The Hong Kong Stock Exchange has published Guidance letter GL54-13 providing guidance on the “Risk Factors” section of listing documents.

Hong Kong Stock Exchange has published 2 consultation papers on its connected transaction rules, with the main paper reviewing the current model for regulating connected transactions conducted by listed issuers

Hong Kong Stock Exchange recently published FAQs in relation to the listing rules changes implemented in connection with the statutory regime for disclosure of inside information under new Part XIVA of the SFO.

The SFC has published FAQs to clarify the meaning of and assist compliance with the Chinese walls requirement under section 4.3 of the Corporate Finance Adviser Code of Conduct.

The Hong Kong Stock Exchange has released three listing decisions in relation to reverse takeovers.

The Exchange has published its first report on the findings and recommendations from a review of all listed issuers’ annual reports issued for the financial year ended between December 2011 and November 2012

SFC publishes FAQ on statutory inside information disclosure regime and the Exchange publicly censures listed issuer for non-disclosure of price sensitive information under previous listing rule regime

The Hong Kong Stock Exchange published three listing decisions in March 2013 in relation to convertible note/bond issues.