HKEX Listing Regime for Emerging and Innovative Sectors: pre-revenue biotech and WVR issuers effective 30 April 2018
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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...
SFC Publishes Consultation Paper on Amending the Regime for Open-Ended Fund Companies
Download the PDF Download the Word On 20 December 2019, the Securities and Futures Commission (SFC) announced the publication of a Consultation Paper on Proposed Enhancements to the Open-ended Fund Companies (OFC) Regime. The consultation is open...
SFC Survey on Integrating Environmental, Social and Governance Factors and Climate Risks in Asset Management
Download the PDF Download the Word The Securities and Futures Commission (SFC) has published the findings of its Survey on Integrating Environmental, Social and Governance (ESG) Factors and Climate Risks in Asset Management which investigated how, and to...
SFC Guidance on Disclosure by HKEx-listed Companies and to Licensed Fund Managers on Dubious Private Funds
Download the PDF Download the Word On 21 November 2019, the Securities and Futures Commission (SFC) issued a Statement on the Disclosure of Actual Controllers or Beneficial Owners of Counterparties to a Transaction[1] and a Circular to Licensed...
SFC Circular on Licensed Corporations’ Use of External Electronic Data Storage
Download the PDF Download the Word Licensed Corporations’ Compliance with Statutory Record-Keeping Obligations Scope of the Circular on Licensed Corporations’ Use of External Electronic Data Storage Requirements for Regulatory Records Kept Exclusively with an External...
HKEx Enhances Guidance for Overseas Listing Applicants
Download the PDF Download the Word Alternative Procedures for U.S. ‘Domestic Issuers’ that are not ‘Reporting Issuers’ Listing on HKEx Template for HKEx Acceptable Jurisdiction Applications Updated CCASS Information Materials Enhanced guidance materials aimed at...
HKEx Directors Training Series
Explains the major Hong Kong laws and HKEx Listing Rules applicable to HKEx listed company directors and the duties of HKEx listed company directors under HKEx Listing Rule 3.08…
SFC Issues Regulations for Licensed Crypto Exchanges
Download the PDF Download the Word The SFC issued a Position Paper: Regulation of Virtual Asset Trading Platforms (SFC Position Paper) on 6 November 2019, setting out new regulations for licensing cryptocurrency exchanges with a strong emphasis on investor...