The SFC has proposed significant amendments to the SFO to: allow it to seek investor compensation orders against regulated persons; narrow the ss 103(j) & (k) exemptions; & broaden the insider dealing regime
Archived Post for "Insights"
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 VASP licence or cease operations in Hong Kong. The Amendment Bill contains transitional provisions for operators of VA exchanges carrying on business in Hong Kong before 1 March 2023
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 in the Stock Connect. The CSRC and SFC approves ETFs in Stock Connect and the initial list of eligible ETFs has been published
SFC and HKEx Disciplinary Actions in April 2022
Summary of April 2022 Hong Kong enforcement actions including Takeovers Code criticism, SFC ban, and HKEx discipline of Hsin Chong directors.
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.