The Hong Kong regulatory enforcement actions concluded in April 2022 included the Takeovers Executive’s public criticism of two former directors for breach of the SFC Takeovers Code’s no frustrating actions rule
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ETF Connect: SFC & CSRC Announce Inclusion of ETFs in Stock Connect
The CSRC and SFC announced plans to allow eligible exchange-traded funds (ETFs) by Mainland and Hong Kong exchanges in Stock Connect. Implementation of the proposed arrangements will come in about two months.
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 provisions for issuers & intermediaries conducting bookbuilding and placing activities, effective 5.08.2022
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 Investor Identification Regime (HKIDR), for the preparation work for the mandatory E2E test in mid-May and June 2022
HKEx and SFC Disciplinary Actions in March 2022
In March 2022, the HKEx announced the results of a disciplinary action against former directors of a Chapter 21-listed investment company and the SFC published the outcomes of 4 disciplinary actions.
Market Existential
Julia Charlton and various invited guests speak about investment opportunities in many countries, and in China and Hong Kong in particular. Podcast offers you information about history of economics science and up-to-date changes in law system. Our podcast is divided...
First SPAC Lists on HKEX under New SPAC Listing Regime
The HKEX listed the first special purpose acquisition company (SPAC) on its Main Board on 18 March 2022 following its introduction of a listing regime for SPACs on 1 January 2022.
U.S. President Issues Executive Order on Digital Asset Regulation
On 9 March 2022, U.S. President Joseph R Biden Jr issued an Executive Order on Ensuring Responsible Development of Digital Assets initiating a comprehensive approach to cryptocurrency regulation and oversight
Recent HKEx and SFC Disciplinary Actions
Recent HKEx and SFC Disciplinary Actions in February including censures, imposing a prejudice to investors’ interests statement, fining, banning for life, and requiring training on regulatory and legal topics
SFC Enforcement Actions in January and February 2022
The SFC and HKEX brought a number of disciplinary actions against SFC-licensed intermediaries for regulatory breaches and against HKEX-listed companies for corporate misconduct in the last two months of 2021