Hong Kong Stock Exchange has published rule changes to complement the SFC’s new regime on the regulation of sponsors under paragraph 17 of the Code of Conduct for Persons Licensed by or Registered with the SFC.
Archived Post for "Hong Kong Law"
HKEx Incorporates Listing Decision LD45-3 Regarding Conditions for Waiver from Strict Compliance with Gem Listing Rules into Guidance Letter GL25-11
The Hong Kong Stock Exchange has withdrawn Listing Decision LD45-3 (on conditions for waiver from strict compliance with GEM Rules 7.03(1) & 11.10) and incorporated its conclusions into Guidance Letter GL25-11
Hong Kong Stock Exchange Publishes Listing Decision on whether Deteriorating Financial Performance After Track Record Period and Other Factors Rendered Applicant Unsuitable for Listing
HKEX Listing Decision on deteriorating financial performance after track record period and listing suitability.
Hong Kong Stock Exchange Publishes Listing Decisions on Rights Issues and Spin-Offs
The Hong Kong Stock Exchange has published three listing decisions concerning rights issues and spin-offs
Court of Final Appeal Hands Down Landmark Ruling on the Application of Section 213 of the SFO
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 Publishes Consultation Paper on the Professional Investor Regime
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
Stock Exchange Publishes Guidance on Listing Document Risk Factors Disclosure
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 Publishes Consultation Papers on Connected Transaction Rules
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
Exchange Publishes FAQ on Listing Rule Changes Consequential on the Statutory Regime for Disclosure of Inside Information
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.
SFC Publishes Frequently-Asked-Questions on Chinese Walls Requirement
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.