HKEX and SFC Disciplinary & Enforcement Actions between January and April 2022 – part 1

On 20 October 2023, Julia Charlton presented a webinar on Hong Kong Regulation of Virtual Asset Trading Platform. This webinar will cover Hong Kong’s licensing regime for virtual asset trading platforms, the ongoing...

On 26 September 2023, the Hong Kong Stock Exchange (HKEX) published a Consultation Paper setting out reforms to the GEM Listing Rules aimed at encouraging more companies to list on GEM. The proposal includes an introduction...

On 8th August 2023, the Securities and Futures Commission (SFC) published its Consultation Conclusions on the changes to Hong Kong's insider dealing regime under the Securities and Futures Ordinance (SFO). The current insider...

The Hong Kong Securities and Futures Commission (SFC) published its Consultation Paper on the proposed amendments to the Codes on Takeovers and Mergers and Share Buy-backs in May of this year. The consultation proposed a...

The Hong Kong Securities and Futures Commission has recently released its consultation conclusions on the Proposed Regulatory Requirements for Virtual Asset Trading Platform Operators Licensed by the Securities and Futures...

Charltons and Alsuwaidi & Company hosted a webinar entitled “A Tale of Three Cities: Overview of the legal systems of Abu Dhabi, Dubai and Hong Kong”. Julia Charlton was joined by the managing partner of Alsuwaidi & Company,...

On 31 March 2023, Julia Charlton presented a webinar on the SFC Consultation on Proposed Regulatory Requirements for Hong Kong Licensed Virtual Asset Trading Platform Operators. This webinar provided an overview to the SFC...

On 1 March 2023, Julia Charlton presented a webinar on the part 2 of the regulatory enforcement webinar series on the HKEX and SFC Disciplinary & Enforcement Actions between May and August 2022. This webinar provided a brief...

The London-based Aquis Exchange PLC is a stock exchange group that operates Aquis Exchange -a pan European cash equities trading business, and Aquis Stock Exchange -a primary UK Stock Market composed of a Main Market and a...

Nasdaq Dubai and Charltons’ webinar on Listing Opportunities on Nasdaq Dubai. Nasdaq Dubai is an international exchange located in the Dubai International Financial Centre with a large and diversified investor base from 212...

On 31 October 2022, Julia Charlton presented a podcast on 2022 Virtual Asset (Crypto) Service Providers & Dealers in Precious Metals & Stones: Hong Kong’s New Regulatory Regimes. This podcast provided an overview of the new...

On 28 October 2022, Julia Charlton presented a podcast on SFC Bookbuilding Conduct Requirements – HKEX Listing Rules & Transitional Arrangements. This podcast provided an overview of the concerns leading to the Bookbuilding...

On 27 October 2022, Julia Charlton presented a podcast on Insider Dealing in Hong Kong – Overview & Update. This podcast provided an overview of the laws on insider dealing in Hong Kong and a summary of the enforcement action...

On 14 October 2022, Julia Charlton presented a podcast on Listing Pre-Revenue Biotech Companies on the HKEx. This webinar is to provide a detailed explanation on listing pre-revenue Biotech Companies. In April 2018, the HKEx...

This podcast is to provide a detailed explanation on listing Mineral Companies. Mineral and petroleum companies may list on the HKEx, subject to the additional listing eligibility requirements, disclosure standards and...

On 10 October 2022, Julia Charlton presented a podcast on Hong Kong’s Disclosure of Interests Regime. This podcast is to provide a detailed explanation of the disclosure of interests regime. Part XV (Disclosure of Interests)...

The podcast concludes the discussion of Hong Kong’s domestic regulation of cryptocurrencies and related activities. It covers the regulatory status of different types of virtual assets, the SFC’s existing framework for...

This podcast considers the progress made in implementing FATF’s revised recommendations (including Hong Kong’s progress). It then focuses on Hong Kong regulation of cryptocurrencies, looking firstly at the scope of the SFC’s...

UAE is one of the fastest-growing cryptocurrency markets in the world. The regulatory regimes in Dubai, Abu Dhabi and the wider UAE provide several options for crypto firms to explore and positions the UAE as a regional and...

The podcast provides a general introduction to crypto regulation looking at key developments in global cryptocurrency markets, before turning to FATF’s revised recommendations requiring the licensing of virtual asset service...

Julia Charlton presents a summary on Hong Kong Stock Exchange HKEX’s new listing regime for overseas issuers. This podcast provides a detailed explanation of the new listing regime for overseas companies. The revised Hong...

Julia Charlton presents a podcast on Hong Kong Stock Exchange or HKEX’s proposed Listing Rule changes for listed company share schemes. The podcast explained Hong Kong Stock Exchange or HKEX Listing Rule amendments with...

China’s economic performance for the year 2021 was marked with strong economic growth of 8.1%, as well as several new initiatives and policies aimed to bring about dynamic changes in the country’s economic outlook for the new...

This podcast starts with a background to security tokens and comparison between security token offerings (STOs) and initial coin offerings (ICOs). A security token is a digital or virtual asset issued on distributed ledger...

This podcast covers the SFC Consultation Conclusions on Proposed Code of Conduct on Bookbuilding and Placing Activities and Proposal on Sponsor Coupling. [next_prev_post category="hkex-directors-training-series"...

Stuarts and Charltons podcast on Cryptocurrency funds and virtual assets in Hong Kong and Cayman. The podcast covers Fund entities that can be used for cryptocurrency funds, Marketing and managing funds in Hong Kong,...

The podcast started with the regulatory framework and recent developments in Hong Kong in relation to SPACs. The HKEX’s new listing regime allowing SPACs to list on the Main Board of the HKEX came into effect on 1 January...