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Hong Kong Law

April 2005

Best Boutique Firm 2014

Asian Legal Business Awards

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Charltons
Dominion Centre,12th Floor
43-59 Queen's Road East, Hong Kong

Tel: + (852) 2905 7888
Fax: + (852) 2854 9596
www.charltonslaw.com

 

Charltons - Hong Kong Law Newsletter - Issue 21 - 18 April 2005

SFC's Guidelines to Address Analyst Conflicts of Interest Hong Kong

Analyst Disclosure Requirements on Investment Banks and Brokers/Dealers Hong Kong

Companies Ordinance section 38B(1) Prohibition On Publication Of Advertisements Concerning Prospectuses Websites Advertising Securities Investment Services Hong Kong

Analyst Conflicts of Interest Firm Compliance Systems written policies and control procedures Hong Kong

Appearances In The Mass Media Firms and Analyst Disclosure Requirements Hong Kong

Exemptions Advertisements Concerning Prospectuses Authorized by the SFC or Stock Exchange and Awareness Advertisements Hong Kong

Paragraph 16 of the Code of Conduct for Persons Licensed or Registered with the SFC

Analysts employed by securities firms are required to be licensed by the SFC

Analyst Integrity reasonable basis for their analyses and recommendations

Analyst trading in the securities of a corporation reviewed by the analyst

Analyst or associate is an officer or financial interest in corporation reviewed
Analyst Reporting Lines, Compensation and participation in Business Activities Investment banking function Pre-approval of analyst reports
Firms’ Disclosure Requirements Financial Interests, Market Making Activities and Investment Banking Relationship with the Corporation
Restrictions on Firms Improper Dealing, Provision of Assurances and Quiet Periods Issuing Investment Research
Publication by way of advertisement of any extract from or abridged version of a prospectus or publication of an advertisement in relation to a prospectus or proposed prospectus