SFC published its SFC Regulatory Bulletin (Issue No. 4) to provide an update on its front-loaded approach to regulating market quality and corporate misconduct
Archived Post for "Insights"
HKEx Publishes Consultation Paper on Corporate WVR Beneficiaries
HKEx published a consultation paper seeking feedback on a proposal to allow corporate entities to benefit from WVR, which at present can only be held by individuals.
Latest SFC Decisions Against SFC Licensed Corporations and Unlicensed and SFC Licensed Individuals for Compliance Failures under the Securities and Futures Ordinance
The SFC has published updates on over ten disciplinary actions and related prosecutions between mid-December 2019 and mid-February 2020 regarding compliance failures under the SFO
HKEX/SFC Guidance on Financial Results Publication amid Corona Virus Travel Restrictions
HKEx and the SFC issued guidance to listed issuers and their auditors on the requirements for financial results publication in light of travel restrictions related to the corona virus.
Hong Kongโs Progress towards a Paperless Securities Market
Hong Kongโs Progress towards a Paperless Securities Market Background Proposals for implementing a paperless securities regime in Hong Kong have a long history. Hong Kongโs securities regulator, the Securities and Futures Commission (SFC) conducted its first...
SFC Issues Licensing Guidance for Hong Kong Private Equity firms and Family offices
Download the PDF Download the Word On 7 January 2020, the Securities and Futures Commission (SFC) announced [1] the publication of two SFC circulars providing guidance on the SFC licensing obligations of private equity firms (Hong Kong private equity firms)...
Consultation Conclusions on WVR Listings and Concessionary Route to Secondary Listing
Consultation Conclusions on WVR Listings and Concessionary Route to Secondary Listing Download pdf | Download word | Download ppt
New Rules Listing Biotech Companies on the Hong Kong Stock Exchange
New Rules Listing Biotech Companies on the Hong Kong Stock Exchange Download pdf | Download word | Download ppt
Chapter 21 listings
Understand SFC-authorized fund restrictions under the UT Code, including investment caps, borrowing limits, and open-ended fund structures.
HKEx Consultation Conclusions on Review of the ESG Reporting Guide and ESG Listing Rules
Download the PDF Download the Word On 18 December 2019, the Stock Exchange of Hong Kong Limited (HKEx) published its Consultation Conclusions: Review of the Environmental, Social and Governance Reporting Guide and Related Listing Rules with respect to its...