Archived Post for "Insights"

The SFC published a consultation outlining proposals to introduce a Code of Conduct on Bookbuilding and Placing Activities and separately, a proposal on Sponsor Coupling

The SFC published a consultation paper on 11 December 2020 on proposals to increase the entry requirements for licence applicants and the ongoing competency standards for individual practitioners.

Charltons responded on 11 Jan 2021 to HKEX’s Consultation Paper: The Main Board Profit Requirement on behalf of a group of 10 sponsor firms opposing the proposed increase in the profit requirement for listing.

The Takeovers Bulletin No.55 was issued in December 2020, in which SFC outlined two breaches of the mandatory general offer obligation, alerted offerors on identifying regulatory approvals and additional delisting ….

The SFC published a consultation outlining proposals to introduce an investor identification regime for the HK securities market at the trading level and an OTC securities transactions reporting regime.

The HKEx published a consultation paper outlining proposals to increase the Main Board Profit Requirement to bring it in line with the Market Capitalisation Requirement.

The HKEx published a concept paper outlining a proposal to streamline the IPO settlement process which would see the settlement timeline shortened to one business day from the current five business days.

Hong Kong’s SFC published a consultation paper on the management and disclosure of climate-related risks by fund managers outlining proposed amendments to the Fund Manager Code of Conduct.

Hong Kong’s FSTB published proposals for a registration regime for dealers in precious metals and stones (DPMS) in line with FATF recommendations in an effort to enhance AML/CFT regulation.