SFC Issues New Guidance on Licensed Intermediaries’ Suitability Obligations

[show_newsletter_sitepath] Hong Kong Law January 2017 PDF version Word version SFC Issues New Guidance on Licensed Intermediaries’ Suitability Obligations Introduction The Securities and Futures Commission of Hong Kong (the SFC) has issued new guidance to...

New SFC Measures to Increase the Accountability of Licensed Corporations’ Senior Management

[show_newsletter_sitepath] Hong Kong Law January 2017 PDF version Word version New SFC Measures to Increase the Accountability of Licensed Corporations’ Senior Management 1. Introduction The Securities and Futures Commission (SFC) issued a circular1 to licensed...

SFC Consults on Proposals to Tighten Regulation of Fund Managers and Point-of-sale Disclosure

[show_newsletter_sitepath] Hong Kong Law December 2016 PDF version Word version SFC Consults on Proposals to Tighten Regulation of Fund Managers and Point-of-sale Disclosure Introduction The Securities and Futures Commission (SFC) is consulting on proposals to tighten...

HKEX Issues Guidance on “Ownership and Control” Requirement for Listing Applicants and Issues Relevant to Controlling Shareholders (HKEx-GL89-16)

[show_newsletter_sitepath] Hong Kong Law December 2016 PDF version Word version HKEX Issues Guidance on “Ownership and Control” Requirement for Listing Applicants and Issues Relevant to Controlling Shareholders (HKEx-GL89-16) Introduction The Hong Kong...

Rights Issues and Open Offers that Significantly Dilute Minority Shareholding Interests Face Closer SFC and HKEx Scrutiny

[show_newsletter_sitepath] Hong Kong Law December 2016 PDF version Word version Rights Issues and Open Offers that Significantly Dilute Minority Shareholding Interests Face Closer SFC and HKEx Scrutiny Listing Approval for a Dilutive Rights Issue (Listing Decision...

Shenzhen-Hong Kong Stock Connect to Launch on 5 December 2016

[show_newsletter_sitepath] Hong Kong Law December 2016 PDF version Word version Shenzhen-Hong Kong Stock Connect to Launch on 5 December 2016 Shenzhen-Hong Kong Stock Connect (Shenzhen Connect) launches on Monday, 5 December 2016. Modelled on the Shanghai-Hong Kong...

HKEX/SFC Joint Consultation: Proposed Enhancements to the Stock Exchange of Hong Kong Limited’s Decision-making and Governance Structure for Listing Regulation

[show_newsletter_sitepath] Hong Kong Law November 2016 PDF version Word version HKEX/SFC Joint Consultation: Proposed Enhancements to the Stock Exchange of Hong Kong Limited’s Decision-making and Governance Structure for Listing Regulation The consultation...

SFC Reprimands and Fines HSBC HK$2.5 Million Over Regulatory Breaches

[show_newsletter_sitepath] Hong Kong Law September 2016 PDF version Word version SFC Reprimands and Fines HSBC HK$2.5 Million Over Regulatory Breaches Introduction Summary of Facts Conclusion: SFC’s Findings Introduction The Securities and Futures Commission...

Shenzhen-Hong Kong Stock Connect Gets Green Light

[show_newsletter_sitepath] Hong Kong Law August 2016 PDF version Word version Shenzhen-Hong Kong Stock Connect Gets Green Light Introduction Operation of Shenzhen-Hong Kong Stock Connect Northbound Trading Southbound Trading Clearing and other Services Exchange-traded...

SFC Publishes 2015 Fund Management Activities Survey

[show_newsletter_sitepath] Hong Kong Law August 2016 PDF version Word version SFC Publishes 2015 Fund Management Activities Survey Summary of survey findings Fund management business excluding real estate investment trusts Asset management and fund advisory business...