HKEx and SFC Disciplinary Actions June and July 2022
HKEx and SFC Disciplinary Actions in June and July 2022 include CES Capital for failure...
Insights Archive:
Hong Kong Registration Regime for Dealers in Precious Metals and Stones to Take Effect on 1 January 2023
Any person carrying on DPMS in Hong Kong will need to be registered or cease...
HKEx and SFC Disciplinary Actions in May 2022
HKEx and SFC concluded disciplinary actions in May 2022 resulting in an order for the...
SFC Proposes Significant Amendments to SFO Enforcement Regime
The SFC has proposed significant amendments to the SFO to: allow it to seek investor...
Hong Kong Licensing Regime for Virtual Asset Exchanges to Take Effect on 1 March 2023
Any person operating a VA exchange in Hong Kong will need to apply for a...
ETF Trading Under Stock Connect to Commence 4 July 2022
The HKEx releases circular on the 4 July 2022 launch of the inclusion of ETFs...
SFC and HKEx Disciplinary Actions in April 2022
The Hong Kong regulatory enforcement actions concluded in April 2022 included the Takeovers Executive’s public...
ETFs to be included in Hong Kong-China Stock Connect
The CSRC and SFC announced plans to allow eligible exchange-traded funds (ETFs) by Mainland and...
HKEx Listing Rule Amendments reflect New SFC Code of Conduct Provisions for Issuers and Intermediaries involved in Bookbuilding and Placing Activities
HKEx published an information paper on listing rule amendments complementing new SFC Code of Conduct...
SFC Releases End-To-End Test Packages and File Transfer Connectivity Guide for the Hong Kong Investor Identification Regime
SFC releases the end-to-end test packages and file transfer connectivity guide for the Hong Kong...