HKEx and SFC Disciplinary Actions of October 2022

Section 214 SFO

Hong Kong Takeovers Code

Notifiable transaction HKEx

HKEx Listing Rule 3.08

Director Unsuitability Statement

Rule 22 Takeovers Code

Disclosure of dealings during offer period

Internal Control deficiencies SFC

Paragraph 12.5 SFC Code of Conduct
General Principle 9 SFC Code of Conduct
Paragraph 14.1 of the SFC Code of Conduct
Short selling Hong Kong
Staff dealing SFC
Paragraph 12.2 SFC Code of Conduct

CH-019829 (Webpage Portal)
2022-12-01 (Published)
2022-12-02 (Updated)