Corporate misconduct: SFC outlines its regulatory approach
The Regulatory Bulletin gives details of the SFC’s exercise of its powers under the SMLR...
Newsletters Archive:
Listing Rules on Capital Raisings by Listed Issuers Tightened by HKEx
Amended Listing Rules disallow rights issues, open offers and specific mandate placings, individually or when...
SFC Outlined Market Regulation Approach and fined Citigroup
Mr. Brian Ho of the SFC outlined its approach to market regulation in a speech...
Hong Kong Monetary Authority to Launch Pilot Bond Grant Scheme
On 10 May 2018, HKMA issued a circular setting out details of the highly anticipated...
SFC Guidelines on Online Platforms and Advisory Services
The Guidelines will clarify how SFC-licensed and registered entities should comply in an online environment...
New Rules for Listing Biotech Companies on Hong Kong Stock Exchange
The Hong Kong Stock Exchange (the Exchange) published its Consultation Conclusions on a Listing Regime...
Consultation Conclusions on WVR Listings
The Guidelines will clarify how SFC-licensed and registered entities should comply in an online environment...
SFC and CSRC increase daily quotas for Mainland-Hong Kong stock connect
The new daily quotas will take effect on 1 May 2018 and will increase the...
Continued deficiencies in sponsor work identified by SFC
The said deficiencies were especially common for sponsor work done for GEM IPOs. Between October...
SFC and Exchange sign addendum to MOU Governing Listing Matters
The Addendum arranges for the establishment of a new Listing Policy Panel as a centre...