Archives

2024

26 FebruaryFSTB Consults on Regulating OTC Virtual Asset Trading
9 JanuarySFC issues guidance for tokenisation of SFC-authorised investment products and intermediaries engaging in Hong Kong tokenised securities-related activities

2023

7 DecemberFSTB Consults on Paperless Corporate Communication for Hong Kong Companies
1 DecemberHKEx Publishes Analysis of Corporate Governance Practice Disclosure of Listed Companies
24 NovemberHKEX Introduces New Exemption to “Double Dipping” Restrictions
24 NovemberHKEX Postpones Proposed Implementation Date for Climate Change Disclosures
20 NovemberSFC Consults on Market Sounding Guidelines
18 NovemberHK Takeovers & Share Buy-backs Codes Amended 29 September 2023
14 NovemberHKEX Consults on Listing Rules Relating to Treasury Shares
25 OctoberThe Hong Kong Chief Executive’s 2023 Policy Address
5 OctoberHong Kong Police Arrest Suspects in JPEX Scandal
29 SeptemberHKEX Consults on GEM Listing Reforms
27 SeptemberHKMA Publishes 2023 Fintech Promotion Roadmap for Hong Kong
15 SeptemberHKEX to Expand Paperless Listing Regime from 31 December 2023
30 AugustHONG KONG EXTENDS INSIDER DEALING REGIME'S TERRITORIAL REACH TO COVER OFFSHORE SECURITIES & DEALING
16 AugustSFC Warns Unlicensed Crypto Exchanges re. Improper Conduct
8 AugustSFC/ HKMA New Suitability Obligations for Sophisticated Professional Investors
4 AugustHKEX Listing Rule Changes for PRC Issuers Effective 1 August 2023
26 JulyHong Kong Needs a Vibrant SME Fundraising Board, says SFC’s Julia Leung
24 JulyHKEX's Fast Interface for New Issuance (FINI) Platform to Launch October 2023
19 JulyCharltons Responds to HKEX Consultation on Mandatory Climate Disclosures in ESG Reports
13 JulyHKMA Urges Banks to Provide Banking Services to Virtual Asset Service Providers
5 JulyHKEx Issues 8th Listed Issuer Regulation Newsletter
20 JuneHong Kong Monetary Authority commences e-HKD Pilot Programme
19 JuneSFC Consults on Amending the Codes on Takeovers and Mergers and Share Buy-backs
9 JuneSFC Circular on Implementing New Licensing Regime for Virtual Asset Trading Platform Operators
3 JuneFSTB Consults on Company Re-domiciliation Regime for Hong Kong
31 MayHong Kong SFC Finalises Regulation of Virtual Asset Trading Platforms
25 MayNew Type 13 Regulated Activity to Take Effect 2 October 2024
15 MayHKEX Consults on Mandatory Climate Disclosures in ESG Reports
19 AprilHKEX Publishes March 2023 Enforcement Bulletin with Focus on Disclosure
14 AprilSFC Issues New Guidance for H Share Issuers
13 AprilNew HKEX Listing Regime for Specialist Technology Companies Launches 31 March 2023
27 MarchHKEX Publishes Consultation Conclusions on New Listing Regime for Specialist Technology Companies
20 MarchHKEX Reports on Global Carbon Markets and the Opportunities for Hong Kong
15 MarchHKEX Consults on Listing Rule Amendments for PRC Issuers
27 FebruaryHong Kong SFC Consults on Proposed Regulatory Requirements for Hong Kong’s new Virtual Asset Service Provider Regime
20 FebruaryHKEx Issues 7th Listed Issuer Regulation Newsletter
15 FebruaryHK Companies Ordinance to Allow Fully Virtual & Hybrid General Meetings
13 FebruaryHKMA to Adopt Licensing Regime for Stablecoins in 2023/24
19 JanuaryFSTB Consults on Expanding Hong Kong Crowdfunding Regulation
10 JanuaryHong Kong and Mainland China to Expand Stock Connect
9 JanuaryHKEX Consults on Expanding the Paperless Listing Regime

2022

30 DecemberHong Kong’s foreign source income exemption regime for passive income effective 1 January 2023
30 DecemberHong Kong Legislative Council delays the Implementation Timetable of the Hong Kong Virtual Asset Service Provider Regime and the Hong Kong Securities and Futures Commission Statement on Virtual Assets
15 DecemberNew Equity Capital Market Urgently Needed in Hong Kong
7 DecemberSFC and CSRC Hold High-Level Enforcement Cooperation Meeting
7 DecemberHKEx and SFC Disciplinary Actions of October 2022
1 DecemberSFC Practice Note 24: Receivers, Liquidators and Commencement of Offer Periods
14 NovemberSFC Circular on Virtual Asset Futures Exchange Traded Funds
10 NovemberHKEx Issues Revised Enforcement Sanctions Statement and New Cooperation Guidance
3 NovemberHK Government issues Policy Statement on development of Virtual Assets in Hong Kong
31 OctoberHKEx, SFC and HKMA Disciplinary Actions in September 2022
27 OctoberHKMA’s AML Regtech Lab Series under Fintech 2025
24 OctoberCourt Orders Sound Global Chairman to Purchase Shares from Investors
23 OctoberHKEX Consults on New Listing Regime for Specialist Technology Companies
18 OctoberHKMA Issues Position Paper on e-HKD
17 OctoberSFC Issues Takeovers Bulletin No. 62
10 OctoberSFC circular to licensed corporations on review of online brokerage, distribution and advisory services in Hong Kong
19 SeptemberHKEx, SFC & HKMA Disciplinary Actions August 2022
8 SeptemberSFC welcomes Central Government support for the enhancement of Hong Kong's IFC status
7 SeptemberHong Kong’s proposed foreign source income exemption regime for passive income
5 SeptemberSwap Connect Development Jointly Announced by People’s Bank of China, Hong Kong Securities and Futures Commission, and Hong Kong Monetary Authority
19 AugustHKEx Updates on Climate Disclosure Standards
17 AugustHKEx Concludes on Proposed Amendments to Listing Rules Relating to Share Schemes of Listed Issuers and Housekeeping Rule Amendment
15 AugustHKEx and SFC Disciplinary Actions June and July 2022
22 JulyHong Kong Registration Regime for Dealers in Precious Metals and Stones to Take Effect on 1 January 2023
22 JulyHKEx and SFC Disciplinary Actions in May 2022
18 JulySFC Proposes Significant Amendments to SFO Enforcement Regime
9 JulyHong Kong Licensing Regime for Virtual Asset Exchanges to Take Effect on 1 March 2023
30 JuneETF Trading Under Stock Connect to Commence 4 July 2022
23 JuneSFC and HKEx Disciplinary Actions in April 2022
10 JuneETFs to be included in Hong Kong-China Stock Connect
3 MayHKEx Listing Rule Amendments reflect New SFC Code of Conduct Provisions for Issuers and Intermediaries involved in Bookbuilding and Placing Activities
28 AprilSFC Releases End-To-End Test Packages and File Transfer Connectivity Guide for the Hong Kong Investor Identification Regime
21 AprilHKEx and SFC Disciplinary Actions in March 2022
1 AprilFirst SPAC Lists on HKEX under New SPAC Listing Regime
22 MarchU.S. President Issues Executive Order on Digital Asset Regulation
8 MarchRecent HKEx and SFC Disciplinary Actions
3 MarchSFC Enforcement Actions in January and February 2022
22 FebruaryHKEX update on timing relief for HKEX listed issuers for the publication of 2021 preliminary financial results
21 FebruaryHKEX and SFC Disciplinary Actions in November to December 2021
9 FebruarySFC and HKMA Issue Joint Circular on Intermediaries’ Virtual Asset-related Activities
3 FebruaryHKMA Issues Proposals for Regulating Payment-related Stablecoins
27 Januarytest newsletter
19 JanuaryHKEX’s New Listing Regime for Overseas Issuers Effective 1 January 2022
7 JanuaryHKEX Corporate Governance Code and Listing Rule Changes Effective 1 Jan 2022

2021

23 DecemberOverview of HKEX’s New SPAC Listing Regime
17 DecemberHKEX Publishes Consultation Conclusions on Hong Kong SPACs
16 DecemberSFC Releases Consultation Conclusions on the Proposed Code of Conduct on Hong Kong Bookbuilding and Placing Activities and HKEx Sponsor Coupling
23 NovemberHong Kong ICAC charges 4 individuals with conspiracy to defraud over “backdoor listing” of a listed company and money laundering
18 NovemberSFC’s Julia Leung Gives Update on Hong Kong Crypto Regulation
11 NovemberHong Kong SFC Fines IPO Sponsors for Due Diligence Failures
2 NovemberCharltons on behalf of 7 corporate finance firms responds to HKEX SPAC Consultation
6 OctoberHKEX Issues Consultation Paper on SPACs
9 SeptemberSingapore Exchange Introduces SPAC Listing Framework
1 SeptemberSFC Publishes Q2 2021 Report
24 AugustSFC Concludes on Hong Kong Investor Identification Regime and OTC Securities Transactions Reporting Regime
9 AugustFINI - HKEX's New IPO Settlement Platform to Implement T+2 IPO Settlement Timetable
5 JulySFC to Upgrade Competency Standards for Licensed Intermediaries and Individuals from 1 January 2022
28 JuneImplementation of Hong Kong-Thailand Mutual Recognition of Funds Scheme
22 JuneFSTB Concludes Consultation on Registration Regime for Dealers in Precious Metals and Stones
16 JuneCourt Rejects Judicial Review Application to Challenge HKEX Delisting
7 JuneHKEx Listing Rule Changes on Disciplinary Powers and Sanctions effective 3 July 2021
2 JuneSFC and HKEX Issue Joint Statement on IPO-related Misconduct
31 MayHKEX to Raise Main Board Profit Requirement from 1 January 2022
28 MayFSTB Concludes Consultation on Licensing Regime for Hong Kong Virtual Asset Exchanges
11 MayHong Kong Government subsidises establishment of Hong Kong open-ended fund companies and real estate investment trusts
22 AprilHKEX Proposes Extension of its Secondary and Dual Primary Listing Regimes
20 AprilHKEX Proposes to Revise Corporate Governance Code and Related Listing Rules
10 AprilHKEX Proposes Simplification of HKEX Listing Regime for Overseas Companies
8 AprilFinancial Affairs Panel to Discuss Protection of Personal Information Provisions
8 AprilSFC Publishes Quarterly Report (Q4 2020)
1 AprilThe HKEX Consultation Paper on the Listing Regime for Overseas Issuers
19 MarchHKEx Publishes Review of Listed Companies’ Corporate Governance Practices and Practitioner’s Insights on ESG
18 MarchSFC Updates FAQs on Compliance with Suitability Obligations and Requirements for Complex Products
17 MarchUK Listing Review Recommendations for Reform of the LSE Listing Rules
8 MarchCrypto 2021 - Looking Forward
26 FebruarySteering Group Announces Green and Sustainable Finance Strategy for Hong Kong
24 FebruaryHong Kong 2021/2022 Budget – Market Highlights
20 FebruaryHKEx Publishes Findings of Latest Review of Issuers’ Annual Report Disclosures
11 FebruarySFC Consults on Proposed Code of Conduct on Hong Kong Bookbuilding and Placing Activities and Proposal on HKEx Sponsor Coupling
19 JanuarySFC consults on changes to Competency Requirements for Licensed Intermediaries and Individuals
11 JanuaryCharltons Responds to HKEX Consultation on Main Board Profit Requirement on behalf of 10 sponsor firms
8 JanuarySFC Takeovers Bulletin No. 55 on Takeovers Code Breaches and Regulatory Reminders

2020

18 DecemberSFC Consults on Investor Identification Regime and OTC Securities Transactions Reporting Regime
8 DecemberHong Kong Government Announces New Social Distancing Measures
27 NovemberHKEx Consults on Proposal to Increase the Main Board Profit Requirement
24 NovemberHKEx Consults on Proposal to Streamline IPO Settlement Process
13 NovemberSFC Consults on Climate-risk Requirements for Fund Managers
11 NovemberFSTB Consults on Proposed Registration Regime for Dealers in Precious Metals and Stones
9 NovemberFSTB Consults on Proposed Licensing Regime for Virtual Asset Exchanges
5 NovemberHKEx Publishes Consultation Conclusions on Proposal to Permit Corporate WVR Beneficiaries
30 OctoberHong Kong SFC Reprimands and Fines Goldman Sachs US$350 million
20 OctoberHKEx Publishes Consultation Conclusions on Codification of General Waivers Relating to IPOs and Listed Issuers and Minor Rule Amendments
14 OctoberSFC Consults on Changes to AML and CFT Guidelines for Licensed Corporations
22 SeptemberChanges to Hong Kong’s Open-ended Fund Companies Regime Take Effect 11 September 2020
11 SeptemberHKEx Consults on Listing Rule Amendments to Increase its Disciplinary Powers and Sanctions
1 SeptemberAmendments to HKEx's Listing Rules for Debt Issues to Professional Investors to Take Effect on 1 November 2020
4 AugustHong Kong Launches Hang Seng TECH Index
3 AugustHKEx Consults on Paperless Listing and Subscription and Issues New IPO Guidance
30 JulyHKEx Publishes Listing Decision 126-2020 with Reasons for Listing Application Rejections
29 JulyHong Kong Government Introduces Most Restrictive Social Distancing Measures Yet
21 JulyNew HKEx Guidance for Biotech Companies Listing under Chapter 18A
15 JulyHong Kong Further Tightens Social Distancing Measures Effective 15 July 2020
10 JulyHong Kong Tightens Social Distancing Measures from 11 July 2020
30 JuneDisciplinary Actions for Takeovers Code Breaches in June 2020
29 JuneSFC Publicly Reprimands and Fines Guotai Junan HK$25.2 million
24 JuneHKEx to Launch New Sustainable and Green Exchange
24 JuneConsultation Conclusions Issued on a Paperless Securities Market for HKEx-listed Securities
23 JuneHong Kong quarantine relaxed for directors of HKEx listed companies and HKEx listing applicants, certain lawyers, accountants and professionals
17 JuneHKSAR Government announces further easing of social distancing measures
8 JuneSFC Disciplinary Actions in May 2020
3 JuneHKSAR Government extends social distancing to 18 June 2020 and eases immigration controls
13 MayEasing of certain social distancing measures and how they apply to shareholders’ meetings
12 MaySFC Guidance to Licensed Corporations on Remote Office Cybersecurity Risk Management amid COVID-19
5 MayHKEx to Implement Volatility Control Mechanism Enhancements on 11 May 2020
29 AprilSFC Guidance for Authorised Funds amid the COVID-19 pandemic
27 AprilSFC Publishes Guidance to Licensed Intermediaries amid COVID-19
23 AprilHKEx IPO Market Q1 2020
22 AprilSFC Sets Standards for Leveraged Foreign Exchange Traders Effective 1 January 2021
21 AprilHKMA Announces Pre-approved Principal Payment Holiday Scheme amid COVID-19 Pandemic
20 AprilSFC Guidance to ETF Fund Managers and Market Makers after Temporary Halt by ETF Market Maker amid COVID-19 Pandemic
17 AprilHong Kong Government Support for Local Enterprises & SMEs
6 AprilHong Kong Government Relief Measures in light of the COVID-19 Outbreak
6 AprilHKEx Announces Planned Launch of Master SPSA Service for Fund Managers
3 AprilSFC Publishes Guidance to Fund Industry in view of COVID-19 Outbreak
2 AprilSFC and HKEx Joint Statement Explains how the Covid-19 Regulations Apply to Shareholders Meetings of HKEx Listed Companies
1 AprilHong Kong Employment Law in the Age of COVID-19
1 AprilSFC Extends Deadlines for Implementing Regulatory Expectations and Reminds Intermediaries of Order Recording Requirements amidst COVID-19 Pandemic
1 AprilSFC Circular Reminds Intermediaries of their Obligations to Ensure Suitability and Timely Dissemination of Information to Clients
1 AprilSFC Issues Guidance on Licensing Related Matters in Light of COVID-19 Pandemic
31 MarchHKEx Updates and Streamlines Guidance Materials
30 MarchHKEx and SFC Issue Further Guidance on Results Announcements in light of COVID-19
27 MarchHong Kong’s Limited Partnership Fund Bill to Take Effect on 31 August 2020
20 MarchHKEx Publishes Review of Issuers’ Annual Report Disclosure
6 MarchCOVID-19 and Force Majeure: What You Should Know
4 MarchSFC and HKEx Listing Committee Recent Enforcement News
27 FebruaryHong Kong Monetary Authority and Bank of Thailand Report on a joint Central Bank Digital Currency research project
26 FebruaryHong Kong 2020/2021 Budget
21 FebruarySFC Bulletin gives Update on SFC’s Front-loaded Regulatory Approach
19 FebruaryHKEx Publishes Consultation Paper on Corporate WVR Beneficiaries
18 FebruaryLatest SFC Decisions Against SFC Licensed Corporations and Unlicensed and SFC Licensed Individuals for Compliance Failures under the Securities and Futures Ordinance
14 FebruaryHKEX/SFC Guidance on Financial Results Publication amid Corona Virus Travel Restrictions
24 JanuarySFC Issues Licensing Guidance for Hong Kong Private Equity firms and Family offices
20 JanuaryHKEx Consultation Conclusions on Review of the ESG Reporting Guide and ESG Listing Rules
16 JanuarySFC Publishes Consultation Paper on Amending the Regime for Open-Ended Fund Companies
6 JanuarySFC Survey on Integrating Environmental, Social and Governance Factors and Climate Risks in Asset Management
2 JanuaryHKEx Consults on Amendments to the Chapter 37 Professional Debt Regime

2019

10 DecemberSFC Guidance on Disclosure by HKEx-listed Companies and to Licensed Fund Managers on Dubious Private Funds
4 DecemberSFC Circular on Licensed Corporations’ Use of External Electronic Data Storage
27 NovemberHKEx Enhances Guidance for Overseas Listing Applicants
25 NovemberSFC Issues Regulations for Licensed Crypto Exchanges
29 OctoberHong Kong SFC Issues Crypto Fund Licensing Conditions for Hong Kong Crypto Fund Managers
28 OctoberHKEx Reports on Hong Kong ETF Market as a Door to Global Investment
27 SeptemberSFC Fines HSBC for Code of Conduct Breaches
28 AugustHKEx Listing Rules: HKEx Consultation on Codifying Waivers and Principles for HKEx IPOs and Listed Issuers
14 AugustNew Listing Rules on Backdoor Listings Effective 1 October
1 AugustHKEx Report on the CES HK Biotechnology Index
26 JulyOnboarding Clients Online: Changes to SFC’s Code of Conduct Para 5.1
22 JulyNew HKEx Listing Decision Review Structure and Appointment of First Listing Review Committee
19 JulySFC Reminds Listed Companies of Duties on Corporate Acquisitions and Disposals
28 JuneHKEx Amends Russia Country Guide for International Companies
26 JuneHong Kong SFC Issues New Guidance on Selling Complex Products
18 JuneHong Kong SFC Requires Enhanced Disclosure for Green or ESG Retail Funds
17 JuneHong Kong SFC Imposes HK$27 mln Fine for Sponsor Due Diligence Failures
14 JuneHKEx to Suspend Listed Issuers for Audit Disclaimers and Adverse Opinions
5 JuneFinancial Reporting Council can Access PRC Audit Working Papers
6 MayHKIAC Approved as Arbitration Venue for Russian Deals
11 AprilSFC Imposes Record Fines for Sponsor Failures
3 AprilFirst virtual banking licences issued in Hong Kong
2 AprilHKEx Listing Rule Amendments Take Effect on 1 March 2019
1 AprilStatement on Security Token Offerings Published by Hong Kong's SFC
6 MarchHong Kong Consults on Paperless Securities Market
18 FebruaryNew Licensing Forms and Mandatory Electronic Filings Required by the SFC
23 JanuaryNew Listing Committee Decision Review Structure for HKEx in 2019
14 JanuaryHong Kong Tops IPO Fundraising in 2018
10 JanuarySFC Publishes Consultation Conclusions on OTC Derivatives and Conduct Risks
8 JanuaryAmendments to Hong Kong Code on Unit Trusts and Mutual Funds effective 1 January 2019
4 JanuaryDriving Private Financing for Green Industries in Hong Kong – The Catalytic Role of a Green Investment Bank

2018

24 DecemberHKEx Publishes Review of Corporate Governance Practices and Updates Guidance on ESG Reporting
18 DecemberGEM Listing Committee Censures L & A International Holdings
4 DecemberCFA Allows Appeal on Insider Dealing of Asia Telemedia Shares
3 DecemberTrading Suspensions Proposed by HKEx for Auditor Disclaimers and Adverse Opinions
12 OctoberHong Kong Green Finance Strategic Framework Announced by SFC
3 OctoberListing Committee Review Structure under Consultation
21 SeptemberSFC Consults on Guidelines for Securities Margin Financing
20 AugustSFC Consults on AML and CTF Guidelines
15 AugustHong Kong Takeovers Code Amendments effective 13 July 2018
28 JulyHKEx issues Corporate Governance Code Consultation Conclusions and Guidance for Boards and Directors
27 JulyCCB International Capital Limited fined $24 million for sponsor due diligence failures
20 JulyNew Hong Kong Stock Exchange Guidance for Listing Applicants in the Internet Technology Sector
19 JulyHKEx Consults on Tightened HKEx Listing Rules on Backdoor Listings and Shell Companies
10 JulyNew Open-ended Fund Company Regime Effective 30 July 2018
26 JuneInvestor Compensation Regime Enhancements Proposed by the SFC
22 JuneHong Kong Listing Rule Changes on Delisting effective 1 August
15 JuneVirtual Bank Authorisation: HKMA Issues New Guideline
11 JuneHong Kong Stock Exchange Reports on Financial Statements Review 2017
7 JuneHKMA Circular on Credit Risk Management for Personal Lending Business
5 JuneSecurities and Futures Professional Investor Rules Amendments
2 JuneCorporate misconduct: SFC outlines its regulatory approach
31 MayListing Rules on Capital Raisings by Listed Issuers Tightened by HKEx
29 MaySFC Outlined Market Regulation Approach and fined Citigroup
18 MayHong Kong Monetary Authority to Launch Pilot Bond Grant Scheme
26 AprilSFC Guidelines on Online Platforms and Advisory Services
25 AprilNew Rules for Listing Biotech Companies on Hong Kong Stock Exchange
23 AprilConsultation Conclusions on WVR Listings
11 AprilSFC and CSRC increase daily quotas for Mainland-Hong Kong stock connect
10 AprilContinued deficiencies in sponsor work identified by SFC
14 MarchSFC and Exchange sign addendum to MOU Governing Listing Matters
23 FebruaryHK Stock Exchange Consults on Listings of Emerging and Innovative Companies
23 FebruarySFC Fines IBHK concerning Electronic and Algorithmic Trading Systems
9 FebruarySFC Consults on Takeovers Code Changes

2017

20 DecemberHKEx Listing Decisions on Sufficiency of Assets/Operations for Continued Listing
19 DecemberAmendments to HKEx’s Main Board and GEM Listing Rules Take Effect on 15 February 2018
15 DecemberHK Exchange to Allow Main Board Listings of Innovative Companies with Weighted Voting Rights and Pre-revenue Biotech Companies
12 DecemberHKEx Consults on Documentary Requirements for Listed Issuers
5 DecemberHKEx Consults on Review of Corporate Governance Code
16 NovemberConsultation Paper on Capital Raisings by Listed Issuers
8 NovemberInternet Trading Hacking Risks - New SFC Guidelines
30 OctoberExtension of Profits Tax Exemption to Offshore Private Equity Funds in 2015
27 OctoberUpdates on New Board Concept Paper
29 SeptemberSFC Regulatory Sandbox Launched and HKMA Announces New Era of Smart Banking
29 SeptemberHong Kong Stock Exchange issues a Consultation Paper on Delisting and Other Rule Amendments
21 SeptemberTakeovers Executive Sanctions for Breach of Mandatory General Offer Obligation
18 SeptemberJoint Consultation Conclusions on Proposed Changes to Hong Kong Listing Regulation Released
1 SeptemberFinancial Resources Rules: SFC’s Consultation Conclusions and Further Consultation on Changes
30 AugustCharltons emphasises Hong Kong’s “super connector” role at the Belt and Road Forum in Chengdu
21 AugustCompanies (Amendment) Bill 2017 introduces Significant Controllers Register
8 AugustSFC Proposes Rules and Code for Open-ended Fund Companies (OFCs)
11 JulyIssuers' Annual Reports Disclosure Review by HKEx
11 JulyTVB ruling on whitewash waiver by Takeovers Panel
7 JulyAML (Anti-Money Laundering) and Counter-Terrorist Financing Bill
6 JulyBVI Beneficial Ownership Secure Search System Act 2017
5 JulySFC clarifies Requirements for Asset Management Activity
27 JuneSFC Circular on Responsible Officers and Substantial Shareholders
24 JuneChanges to the GEM Rules and Main Board Rules Proposed by the HKEx
23 JuneSFC Issues Statement on Listing of Infrastructure Project Companies
22 JuneHKEx Consults on Proposed New Board for New Economy Companies
15 JuneMainland-Hong Kong Bond Market Connect to be Established
14 JuneSFC Elaborates on the Liabilities of Directors and Senior Executives of Listed Companies and Senior Management Accountability
9 JuneSFC Authorisation for Leveraged and Inverse Products
26 MayBackdoor Licensing, Managers-In-Charge of Core Functions and the Legal Liabilities of Senior Management
19 AprilSFC Publishes Statement on Recent GEM Listing Applications and the Requirement for an Open Market
22 MarchSFC Publishes Consultation on Amendments to the Professional Investor Rules
20 MarchPrivate: European Chamber of Commerce Paper on Hong Kong Fintech
2 FebruarySFC and HKEX Impose New Requirements for Listing Applicants, Sponsors, Underwriters and Placing Agents of GEM IPOs
26 JanuaryHong Kong is World’s Top IPO Fundraising Market in 2016 while Listed Debt Turnover Rises 126 percent on 2015
23 JanuarySFC Issues New Guidance on Licensed Intermediaries’ Suitability Obligations
13 JanuaryNew SFC Measures to Increase the Accountability of Licensed Corporations’ Senior Management

2016

30 DecemberSFC Consults on Proposals to Tighten Regulation of Fund Managers and Point-of-sale Disclosure
22 DecemberHKEX Issues Guidance on "Ownership and Control" Requirement for Listing Applicants and Issues Relevant to Controlling Shareholders (HKEx-GL89-16)
20 DecemberRights Issues and Open Offers that Significantly Dilute Minority Shareholding Interests Face Closer SFC and HKEx Scrutiny
2 DecemberShenzhen-Hong Kong Stock Connect to Launch on 5 December 2016
21 NovemberHKEX/SFC Joint Consultation: Proposed Enhancements to the Stock Exchange of Hong Kong Limited’s Decision-making and Governance Structure for Listing Regulation
23 SeptemberSFC Reprimands and Fines HSBC HK$2.5 Million Over Regulatory Breaches
22 AugustShenzhen-Hong Kong Stock Connect Gets Green Light
19 AugustSFC Publishes 2015 Fund Management Activities Survey
1 AugustHong Kong And Russia Double Taxation Agreement Comes Into Force
27 JulySFC CEO Mr. Ashley Alder's Remarks at Hedge Fund Standards Board Institutional Investor Roundtable
25 JulyLatest Guidance on Pooled Property Arrangements and Crowdfunding Property Investments
15 JulySFC Takeovers Bulletin No. 37 on Takeovers Code Breaches and Regulatory Reminders
24 JuneJoint Consultation Paper Issued on Proposed Changes to Hong Kong Listing Regulation
13 JuneHKEx Publishes Guidance for Offshore Retail Funds Applying to List in Hong Kong
3 JuneHong Kong Stock Exchange Publishes New Guidance on IPO Vetting and Suitability for Listing
2 JuneMemorandum of Understanding Entered into between Hong Kong International Arbitration Centre and the Russian Arbitration Association
27 MayHong Kong’s Takeovers Panel Rules that Alibaba Breached Takeovers Code due to “Special Deal”
23 MayChina’s NDRC to Simplify Outbound Investment Rules
16 MayHong Kong Stock Exchange Publishes Guidance Letter on Bonus Issues of Shares
13 MayHKEx Publishes Listing Decisions on Reasons for Rejection and Return of New Listing Applications
30 AprilInsider Dealing in Securities Listed Offshore: High Court Interprets Section 300 SFO in Landmark Case
28 AprilSFAT Reprimands and Fines Moody’s HK$11 million over Red Flags Report on Chinese Companies
20 AprilHong Kong Stock Exchange Publishes Guidance Letter for Issuers Subject to Rumours or Market Commentaries
20 AprilSFC Commences Market Misconduct Proceedings for Alleged Breaches of Inside Information Disclosure Requirements
6 AprilSFC Publishes Consultation Conclusions on Principles of Responsible Ownership
29 MarchNew Open-Ended Fund Company Structure for Hong Kong Funds to be Introduced Under the Securities and Futures (Amendment) Bill 2016
18 MarchAmendments to the Hong Kong Professional Investor Regime Take Effect on 25 March 2016
9 MarchHong Kong SFC Publishes Circular on Requirements for Authorisation of Leveraged and Inverse Products Structured as ETFs
7 MarchSFC Concludes on Expanding Scope of Short Position Reporting
4 MarchHKMA and SFC Publish Draft Rules Introducing Mandatory Clearing and Expanding Mandatory Reporting for OTC Derivatives
26 FebruaryThe Contracts (Rights of Third Parties) Ordinance – the Impact on Hong Kong Contracts
19 FebruaryHong Kong Stock Exchange Publishes Listing Document Simplification Guide
29 JanuaryNew Report Sets Out Proposals to Boost Hong Kong as a Fund Distribution Centre
29 JanuaryHong Kong Stock Exchange Strategic Plan 2016-2018
20 JanuaryHong Kong And Russia Sign Double Taxation Agreement
19 JanuaryComply or Explain ESG Reporting for Hong Kong Listed Companies for Financial Years Starting from 1 January 2016
15 JanuaryHKEx Paves the Way for Russian Companies to List in Hong Kong
12 JanuarySFC Consults on Changes to the Guidelines for Regulation of Automated Trading Services

2015

31 DecemberSFC Consults on Expanding the Scope of Short Position Reporting
31 DecemberHKEx Targets Backdoor Listings in Application of Cash Company Rules to Large Scale Fundraisings
23 DecemberSuitability Requirement to Become Mandatory Provision of Client Agreements Under SFC Code Amendments
22 DecemberHKEx Provides Further Guidance on Significant Distributions of Unlisted Assets by Listed Issuers
23 NovemberHKEx Approves India as Acceptable Jurisdiction of Incorporation for Listing Applicants
11 NovemberHong Kong Law Reform Commission Consults on Third Party Funding for Arbitration
11 NovemberExchange Publishes Guidance on Continuing Obligations of Issuers and Guarantors of Listed Debt Securities
28 OctoberTakeovers Panel Upholds Executive’s Decision that No Mandatory General Offer Obligation Arose for China Oriental
26 OctoberHKEx Proposes “London-Hong Kong Connect” to Link Commodities Markets
16 OctoberSFC launches Pilot Initiatives to Enhance Fund Authorisation Process
14 OctoberHong Kong Drops Weighted Voting Rights
9 OctoberHong Kong Stock Exchange Publishes Consultation Conclusions on Volatility Control Mechanism and Closing Auction Session
15 SeptemberHKEx Consults on Introduction of “Comply or Explain” Environmental, Social and Governance Reporting
12 AugustExchange Publishes Guidance on Mixed Media Offers
10 AugustErnst & Young Discontinues Appeal over Producing Chinese Audit Working Papers to SFC
5 AugustSFC Fines Licensed Entity HK$4.5 million for Delay in Reporting Trader’s Misconduct
31 JulySFC Brings First Action for Breach of Listed Companies’ Obligation to Disclose Inside Information under Part XIVA Securities and Futures Ordinance
24 JulyHong Kong Accountants’ Exemption from Restrictions on Foreign Accountants Auditing Chinese Companies Listing Offshore
17 JuneExchange Publishes Guidance on Issue of Convertible Securities by Listed Issuers
10 JuneMainland-Hong Kong Mutual Recognition of Funds Initiative to Launch on 1 July 2015
22 MaySFC Publishes Update on Intermediaries' KYC and Account Opening Obligations
18 MayHong Kong Listing Rule Amendments to Reflect New Financial Information Disclosure and Other Requirements
14 MayHong Kong Stock Exchange 2015 Listing Decisions: Regulatory Breaches Impact Cash Flow Calculation and Controlling Shareholders' Post-IPO Lock-up Explained
12 MayNew SFC Guidance on Inside Information and Listing Document Disclosure and Appropriateness of IPO Incentive Schemes
12 MayChina Adds 3 New FTZs and Introduces New National Security Review Procedures for Foreign Investments in FTZs
30 AprilCourt of Final Appeal Ruling: Pacific Sun Advisors and its Director Acquitted of SFO Offence re. Unauthorised Issue of Fund Advertisements
25 MarchNew Pre-Trade Checking Model for Trading A Shares under Shanghai-Hong Kong Stock Connect
24 MarchHong Kong Stock Exchange to Issue Conclusions on Weighted Voting Rights
16 MarchHong Kong Profits Tax Exemption to be Extended to Offshore Private Equity Funds 2015
10 MarchHKEx Consults on Volatility Control Mechanism and Closing Auction Session 2015
4 MarchSFC Bans Ping An Former CEO for 1 Year over Internal Control Failures 2015
2 MarchShort Selling of A Shares via Shanghai-Hong Kong Stock Connect Starts Monday, 2 March
26 FebruaryUS SEC Settles Dispute with Big Four Accountants over Chinese Accounting Records Access
16 FebruaryRussia to sign IOSCO MMoU clearing the way for Russian companies to list on the Stock Exchange of Hong Kong
12 FebruaryThe 10 Most Important Things to Know about China New Foreign Investment Law
10 FebruaryStamp Duty Exemption for Hong Kong-Listed ETFs Effective Friday, 13 February 2015
2 FebruaryExchange Updates Guidance on IPO Listing Document Disclosure relating to Material Changes after Trading Record Period
18 JanuaryHong Kong Corporate Finance Regulation - 2014 Highlights and the Year Ahead
17 JanuaryHong Kong Stock Exchange Publishes Listing Decision on Controlling Shareholders' Post-IPO Lock-up Restrictions
9 JanuaryMoody's Appeals SFC's Disciplinary Action: Latest Developments
2 JanuarySFC Consults on Greater Information Gathering Powers on Licensed Corporations to Assist Overseas Regulators

2014

31 DecemberHong Kong-China Mutual Recognition of Funds (MRF) Scheme Nears Implementation
24 DecemberSFC Starts Market Misconduct Proceedings over Alleged False Research Report
24 DecemberHong Kong Law Change Introduces Three Days Paternity Leave
18 DecemberReporting and Record-keeping Obligations re OTC Derivative Transactions
4 DecemberDocument Execution at Virtual Signings and Closings
1 DecemberChina Consults on 2014 Draft of Foreign Investment Catalogue
10 NovemberShanghai-Hong Kong Stock Connect to Commence Monday
6 NovemberHK Exchange Updates Listing Rule Guidance
29 OctoberExchange Listing Rule Amendments re Financial Information Disclosure under Companies Ordinance
13 OctoberSFC Publishes Consultation Conclusions on Amendments to the Professional Investor Regime and Further Consultation on Client Agreement Requirements
8 OctoberSFC Takeovers Update - Takeovers Bulletin No 30
29 SeptemberHKEx Publishes Concept Paper on Weighted Voting Rights
10 SeptemberHKEx Stops Initial Check of IPO Application Proofs
29 AugustSFC Drops Proposed Amendments to Sponsors Prospectus Liability Provisions
20 AugustSFC Comments to Focus on Substantive Takeovers Code Issues
18 AugustFSTB Publishes Consultation Conclusions on Improving Corporate Insolvency Law and Proposals for a New Statutory Corporate Rescue Procedure
8 AugustHKMA-SFC Consult on Rules Imposing Mandatory Reporting Obligations for OTC Derivative Transactions
5 AugustFSDC Publishes Recommendations for Positioning Hong Kong as a Preferred International Listing Venue
1 AugustFSTB Consults on Increasing Independence of Regulatory Regime for Listed Entity Auditors
29 JulyTakeovers Panel rules the Codes apply to SouthGobi Resources Limited
7 JulySFC Proposes Additional Exemptions from Part XV Disclosure Requirements
2 JulySFC Publishes Assessment Questions for Effective Business Continuity Plans
30 JuneThe Exchange Consults on Internal Controls Section of the Corporate Governance Code
13 JunePRC Ministry of Finance Releases Draft Regulations on Cross-Border Audit Services
12 JuneHong Kong Stock Exchange Publishes Guidance Letter on Reverse Takeover Rules
11 JuneExchange Publishes Guidance on Listed Issuers Use of Structured Contracts
10 JuneSFC Launches Online System for Dealing Disclosures under Takeovers Code
9 JuneCourt Orders EY to Produce Accounting Records to SFC
27 MaySFC Reprimands and Fines ICBCI and Deutsche Bank
22 MayExchange Publishes Further Information on Shanghai-Hong Kong Stock Connect
16 MayExchange Issues Guidance on Opinion Letters Prepared By Independent Financial Advisers
9 MaySFC Issues Notice on Risks and Potential Regulatory Issues of Crowd-Funding
23 AprilHKEx to Launch its First Asia Commodities Contracts
16 AprilFSTB Consults on Open-Ended Fund Company Structure
14 AprilExchange Reviews Disclosure in Annual Reports to Monitor Rule Compliance
11 AprilLinking of Shanghai and Hong Kong Stock Exchanges
11 AprilExchange Publishes New Guidance on Placing Shares to Connected Clients for Independent Third Parties
8 AprilRevised Connected Transaction Rules to Take Effect
3 AprilExchange Introduces New Headline Categories for Announcements
2 AprilSponsor Regime Update - Initial 3-Day Check
28 MarchSFC Consults on the Regulation of Alternative Liquidity Pools
14 MarchHK Government Proposals for Resolution Regime for Financial Institutions
11 MarchInformation on Listing Applications since the New Sponsor Regime
7 MarchSFC Proposes Amendments to the Code on REITs
5 MarchRule Amendments - Annual Listing Fees FAQs Following the New Companies Ordinance
28 FebruaryNew Companies Ordinance - Relating to Memorandum, Articles of Association
27 FebruaryHong Kong Companies Ordinance-Schemes Amalgamations
26 FebruaryNew Companies Ordinance - Financial Reporting
24 FebruaryNew Companies Ordinance - Registration of Charges
20 FebruaryNew Companies Ordinance - Company Administration and Procedure
13 FebruaryNew Companies Ordinance - Share Capital
12 FebruaryNew Companies Ordinance - Changes Affecting Directors
7 FebruaryExchanges Decision on Breach of Rules on Price Sensitive Information
5 FebruaryNew Guidance on the Applicable Laws and Regulations section
28 JanuaryHong Kong Stock Exchange Issues New and Updated Guidance Letters
14 JanuaryIncrease in Inside Information Announcements and Additional FAQs

2013

24 DecemberHong Kong Stock Exchange Publishes 20 Country Guides for Acceptable Jurisdictions of Incorporation
23 DecemberSFC To Step Up Oversight Of Corporate Conduct
18 DecemberHong Kong Stock Exchange Publishes Guidance Letter on Suitability for Listing and Listing Decision on the Suitability for Listing of Applicants Which Had Conducted Business in Countries Subject to Sanctions
18 OctoberSFC Publishes FAQ on the New Sponsor Regime
11 OctoberSFC Issues Takeovers Bulletin on Dealing Disclosures under Rule 22 and the Exemption from Rule 109 for Companies with Dual Listing
9 OctoberStock Exchange and SFC Issue Updated Joint Policy Statement Regarding the Listing of Overseas Companies
30 SeptemberNew Sponsors Regime To Come Into Effect For Listing Applications Submitted On Or After 1 October 2013 And Publication Of The Hong Kong Sponsor Due Diligence Guidelines
23 SeptemberExchange Publishes Guidance on Resumption of Long Suspended Companies
19 SeptemberSFC Issues Guidelines on the Application of the CPSS-IOSCO Principles for Financial Market Infrastructures
18 SeptemberExchange Issues Guidance on Documentary Requirements and Administrative Matters Relating to New Listing Applications
17 SeptemberExchange Provides Guidance on Confirmations from Reporting Accounts on Historical Financial Information
16 SeptemberExchange Publishes Guidance Letter HKEx-GL6-09A on Financial Information for the Trading Record Period Expected in the First Draft Listing Document for Listing Applications
13 SeptemberExchange Sets Out Guidance on Logistical Arrangements for the Publication of Application Proofs Post Hearing Information Packs and Related Materials
30 AugustStock Exchange Publishes Updated Guidance on Waiver Applications for New Mineral Companies under Main Board Rule
29 AugustSFC Issues Takeovers Bulletin on Disqualifying Transactions under the Whitewash Guidance Note and Application of Rule 201B to Share Repurchases By Partial Offer
13 AugustExchange Publishes FAQ on Listing Rule Changes to Complement the Securities and Futures Commissions New Sponsor Regulation
13 AugustExchange Publishes Listing Rule Changes to Come into Effect Regarding New Statutory Regime on the Regulation of Sponsors
22 JulyHKEx Incorporates Listing Decision LD45-3 Regarding Conditions for Waiver from Strict Compliance with Gem Listing Rules into Guidance Letter GL25-11
8 JuneHong Kong Stock Exchange Publishes Listing Decision on whether Deteriorating Financial Performance After Track Record Period and Other Factors Rendered Applicant Unsuitable for Listing
6 JuneHong Kong Stock Exchange Publishes Listing Decisions on Rights Issues and Spin-Offs
4 JuneCourt of Final Appeal Hands Down Landmark Ruling on the Application of Section 213 of the SFO
3 JuneSFC Publishes Consultation Paper on the Professional Investor Regime
29 MayStock Exchange Publishes Guidance on Listing Document Risk Factors Disclosure
27 MayHong Kong Stock Exchange Publishes Consultation Papers on Connected Transaction Rules
13 MayExchange Publishes FAQ on Listing Rule Changes Consequential on the Statutory Regime for Disclosure of Inside Information
26 AprilSFC Publishes Frequently-Asked-Questions on Chinese Walls Requirement
19 AprilHong Kong Stock Exchanges Publishes Three Listing Decisions on Reverse Takeovers
19 AprilHong Kong Stock Exchange Publishes Report on Issuers Annual Report Disclosure
12 AprilSFC Publishes FAQ on Statutory Inside Information Disclosure Regime and the Exchange Publicly Censures Listed Issuer for Non-Disclosure under Previous Listing Rule Regime
11 AprilHKEx Publishes Listing Decisions in Relation to Convertible Note-Bond Issues
10 AprilStock Exchange Publishes Guidance on Listing Document Disclosure for New Applicant Mineral Companies
8 AprilStock Exchange of Hong Kong Publishes Consultation Conclusions on Allowing Listed Issuers to Release Inside Information During Trading Hours Subject to Short Trading Halts
26 MarchBill to Regulate the Hong Kong OTC Derivative Market to be Introduced in the Second Quarter 2013
26 MarchHong Kong Stock Exchange Publishes Guidance Letter Gl51-13 Disallowing Additional Benefits for Cornerstone Investors
11 MarchHong Kong Stock Exchange Publishes Listing Decision on Allowing a PRC Listed Company to Convert its Entire B Shares into H Shares and List the H Shares on the Main Board By Way of Introduction
9 FebruaryHong Kong Stock Exchange Issues Guidance Letter and Listing Decisions in Relation to Mineral Companies
2 FebruaryHong Kong Stock Exchange Publishes Guidance on the Reasons for Returning Certain Listing Applications

2012

24 DecemberSFC Encourages Inside Information Disclosure before the Statutory Disclosure Regime comes into Effect
24 DecemberStock Exchange Updates Listing Decision on Circumstances under Which It Will Exempt a New Listing Applicant from Filing Placee Lists with Respect to its IPO Shares Sold in Public Offers Outside Hong Kong
20 DecemberHong Kong Stock Exchange Publishes Consultation Conclusions on Listing Rule Amendments Consequential on New Statutory Regime for PSI Disclosure
7 DecemberAmendments to the Law on the Use and Provision of Personal Data for Direct Marketing Expected
5 DecemberSFC Consultation Service on Statutory PSI Disclosure Regime and SFC Consults on Proposals to Enhance the Regulatory Regime for Non-Corporate Listed Entities
29 NovemberSFC Holds IPO Sponsor Principals Jointly and Severally Liable in Discharge of Responsibilities
26 NovemberAmendments to the Definitions of Specified Stock and Futures Exchanges and Proposed Amendments to the Securities and Futures Financial Resources Rules
5 NovemberHong Kong Stock Exchange Publishes Guidance on pre-IPO Investments
30 OctoberFSTB and Companies Registry Consult on Subsidiary Legislation to Complement the New Companies Ordinance
19 OctoberFirst Dual Counter Security Lists on Hong Kong Stock Exchange
15 OctoberStock Exchange Publishes Listing Decision in Relation to Suitability for Listing of Applicants with Deteriorating Financial Performance and Uncertain Business Prospects
9 OctoberThe Australasian Joint Ore Reserves Committee Releases for Public Comment the Exposure Draft of the JORC Code 2012
24 SeptemberHong Kong Stock Exchange Consults on Board Diversity
14 SeptemberStock Exchange Updates Listing Decision on PRC Businesses Using VIE Structures
12 SeptemberHong Kong Stock Exchange Publishes Consultation Conclusions on Environmental Social and Governance Reporting
24 AugustSFC and HKMA Publish Consultation Conclusions and Supplemental Consultation on the Regulation of OTC Derivatives
22 AugustStock Exchange Consults on Listing Rule Amendments Consequential to Issuers Statutory Obligation to Disclose Price Sensitive Information
15 AugustHong Kong Stock Exchange Consults on Allowing Publication of PSI During Trading Hours Subject to Trading Halts
10 JulySFC Publishes Consultation Conclusions on Amendments to the Code of Conduct
11 JuneHong Kong Stock Exchange Publishes Guidance on Listed Issuers Continuous Disclosure Obligations and on Disclosure of Distributorship Business Models in Listing Documents
30 MayHong Kong Stock Exchange Publishes Guidance Letter on Profit Forecasts under Main Board Rules and Gem Rule
24 MaySecurities and Futures Commission Publishes Consultation Paper on the Regulation of Sponsors
11 MayStatutory Regime for Disclosure of Price Sensitive Information
4 MayHong Kong Stock Exchange Issues Guidance on Hard Underwriting Disclosure and SFC Fines Investors for Illegal Short Selling and SFC Fines and Revokes Licence of An IPO Sponsor
2 MayNew Anti-Money Laundering and Counter-Terrorist Financing Requirements for SFC Licensed Corporations
26 AprilHong Kong Stock Exchange Issues Guidance Letter on Disclosure of Use of Proceeds in New Applicants Listing Documents
25 AprilHong Kong Stock Exchange Publishes Guide to Connected Transaction Rules
12 AprilHong Kong Stock Exchange Publishes Guidance Letter on the Accounting and Disclosure Requirements for Acquisitions of Subsidiaries and Businesses Conducted During Or After the Trading Record Period
27 MarchAmendments to the Takeovers Code
21 MarchSFCs New Short Position Reporting Regime Expected
12 MarchHong Kong Stock Exchange Publishes Two Listing Decisions on Rights Issues
15 FebruaryHong Kong Stock Exchange Publishes Revised Guidance on Prospectuses Issued Within 3 Months of the Issuers Financial Year End
6 FebruaryHong Kong Stock Exchange Repeals Listing Rule Ban on Inclusion of Profit Forecasts in pre-Listing Research Reports Unless Also Included in Listing Document
3 FebruaryHong Kong Stock Exchange Publishes Consultation Paper on Environmental Social and Governance Reporting Guide
31 JanuarySEHK Recent Publications on Revised Publication Window for Issuers Documents pre-IPO Investments
19 JanuarySFC Consultation on Proposed Amendments to the Code of Conduct
11 JanuaryProperty Valuation Requirements for Mining Companies IPOs
6 JanuarySFC Issues Takeovers Bulletin on Reminder to Fund Managers of Dealing Disclosure Obligations under Rule 22 of the Takeovers Code
4 JanuaryStreamlined Property Valuation Requirements

2011

15 DecemberNew Evidential Requirements for Proving Professional Investor Status
7 DecemberSEHK Publishes Consultation Conclusions on Amendments to the Corporate Governance Code and Associated Listing Rules
3 NovemberSFC Begins Consultation on Proposed Regulatory Regime for OTC Derivatives Market
22 SeptemberHKEX Publishes Revised Guidance for Chapter 21 Companies Investment Companies
5 SeptemberSFC Publishes Consultation Paper on Proposed Takeovers Code Amendments
31 AugustCSRC Tightens Regulation of Backdoor Listings and Adopts Measures to Facilitate Asset Acquisitions By Way of Share Issue
17 AugustSFC Reminds Sponsors to Exercise Reasonable Judgment in IPO Due Diligence
15 AugustSFC Extends Implementation Date for New Conflict of Interest Requirements Governing Research Reports
16 JulySFC Publishes Consultation Conclusions on the Regulatory Framework for pre-Deal Research Reports
15 JulySFC Publishes Guidance on Marketing of Existing Collective Investment Schemes and Investment-Linked Assurance Schemes to the Hong Kong Public under the Revised Code on Unit Trusts and Mutual Funds
11 JulyTakeovers and Mergers Panel Releases Ruling on whether Two Parties Should be Considered Concert Parties under the Takeovers Code
6 JulySFC Publishes Revised Guidelines on Statutory Price Sensitive Information Disclosure Obligation
4 JulyHKEx Publishes FAQs on Models for RMB IPOs
30 JuneUK Bribery Act Comes into Force the Implications for Businesses in Asia
27 JuneConsultation Paper on Draft Short Position Reporting Rules Published
13 JuneEx-Entitlement Trading Only After Shareholder Approval
24 MayNew Regime for Offers of Structured Products
29 AprilHKEx Listing Decisions on Acceptability of Prior Shareholder Mandates for Notifiable Transactions the Classification of A Share Repurchase By a Listed Subsidary under Chapter 14 and Qualification Requirements for Mainland Property Valuers
13 AprilSFC Report on Sponsor Inspection Findings
11 AprilSFC Publishes Consultation Conclusions on the Draft Guidelines on Disclosure of Price Sensitive Information
8 AprilUK Bribery Act 2010 to Come into Force - UK MOJ Publishes Guidance on Adequate Procedures Defence and DPP and SFO Publish Joint Prosecution Guidance
6 AprilHKEx Publishes Listing Decision Regarding Restrictions on Disposal After a Change in Control under Chapter 14 of the Listing Rules
25 MarchCompanies Registry Implements One-Stop Electronic Incorporation and Business Registration Service
8 MarchHKEx Issues New Guidance on the Requirements for the Publication of Overseas Regulatory Announcements
28 FebruaryMixed Media Offers allow Paper Application Forms with Electronic Prospectuses
25 FebruarySFC Publishes Consultation Conclusions on the Evidential Requirements under the Securities and Futures Professional Investor Rules
22 FebruaryFSTB Publishes Consultation Conclusions on Statutory Backing to Price Sensitive Information Disclosure Requirements
14 FebruaryThe UKBribery Act 2010 - the Implications for Businesses Operating in Asia
2 FebruaryReduction of the Minimum Shareholder Requirement for the Market Capitalisation-Revenue Test from 1000 to 300
31 JanuaryHKEx Extends Trading Hours
21 JanuarySEHK and SFC Publish Joint Consultation Paper Proposing Changes to Property Valuation Requirements
14 JanuaryHKEx Publishes Consultation Paper On Ex-Entitlement Trading
12 JanuaryHKEx Publishes Listing Decision on the Listing Eligibility of An Entity under Joint Control
11 JanuaryHKEx Publishes Consultation Paper on Review of the Code on Corporate Governance Practices and Associated Listing Rules
5 JanuaryHKEx Publishes Consultation Paper on Proposed Changes to Requirements for the Listing of Debt Issues to Professional Investors Only

2010

24 DecemberHKEx Amends Listing Rules to Accept Mainland Accounting and Auditing Standards and Mainland Audit Firms for Mainland Incorporated Companies Listed in Hong Kong
13 DecemberSFC SEHK Publish Joint Consultation Conclusions on the Proposal to Allow the Issue of Paper Application Forms with Electronic Listing Documents
10 DecemberSFC Publishes Consultation Paper on the Regulatory Framework for pre-IPO Research Reports
30 NovemberRegistration of Investment Managers with Sec
15 NovemberSFC Publishes Consultation Conclusions Concerning the Regulatory Oversight of Credit Rating Agencies
10 NovemberHKEx Admits Brazil Japan and the Isle of Man as Acceptable Jurisdictions of Incorporation for Overseas Listing Applicant
3 NovemberHKEx Listing Committee Announces Interim Guidance on pre-IPO Investments
6 OctoberSFC Publishes Consultation Paper on the Evidential Requirements under the Securities and Futures Professional Investor Rules
17 SeptemberHKEx Publishes Consultation Paper on Proposed Reduction of Required Minimum Number of Shareholders for the Market Capitalisation-Revenue Test
8 SeptemberConsultation Conclusions on the First Phase Consultation of the Draft Companies Bill Published
9 AugustSFC Dual Filing Update Identifies Shortcomings in Prospectus Disclosure
5 AugustSFC Consults on Regulatory Oversight of Credit Rating Agencies
15 JuneChanges to Requirements for Circulars and Listing Documents of Listed Issuers
11 JuneSFC to Implement Proposals to Enhance Regulation of Retail Structured Products
26 MayChanges to Connected Transaction Rules
26 MayIntroduction to the New Main Board and Gem Listing Rules for Mineral Companies
5 MaySFC Consultation Paper on Proposal to Stop Commenting on Routine Announcements under the Codes on Takeovers and Mergers and Share Repurchases and Proposed Miscellaneous Amendments to the Codes
1 MayRevised Practice Note 15 in latest SFC Takeovers Bulletin
22 AprilFSTB and SFC Consultations on Proposals to Give Statutory Backing to Listed Companies Obligation to Disclose Price Sensitive Information

2009

3 DecemberHKEx Publishes Consultation Paper on Proposed Changes to its Connected Transaction Rules
19 NovemberHKEx Streamlines Procedures for Listing Overseas Companies
20 OctoberHKEx Publishes Consultation Paper on Proposals to Allow Mainland Companies Listed on HKEx to Use Mainland Accounting and Auditing Standards and Mainland Audit Firms
15 OctoberHKEx Publishes Consultation Paper on Proposed Changes to Requirements for Circulars and Listing Documents of Listed Issuers
5 OctoberHKEx Consults on New Listing Rules for Mineral and Exploration Companies
25 AugustSFC Consults on Increased Short Selling Disclosure
17 AugustHKEx Publishes Consultation Paper on Proposals to Accelerate Rights Issues and Open Offers
14 AugustHKEx Consultation Paper on Proposed Changes to Filing and Checklist Requirements for Listing Equity Securities
22 JuneRecent Developments in Chinas Business and Securities Laws
13 JuneHKEx Potential Waiver from Profit Test Requirement for Main Board IPO Applicants
30 AprilDecision 55-2009-Qd-Ttg - New Regulations on Foreign Ownership of Vietnamese Companies
22 AprilThe Turner Review and Discussion Paper - a Regulatory Response to the Global Banking Crisis
23 MarchChinas Ministry of Commerce Rejects Coca-Colas Bid to Acquire China Huiyuan Juice Group
27 FebruarySFC Approves Listing Rule Amendments to Extend Black Out Period for Annual Results to 60 Days
13 FebruaryHKEx Proposes Modification of the Black Out Period Extension and Moderates Position on Quarterly Reporting
6 FebruaryChanges to Designated Securities Eligible for Short Selling
22 JanuaryHKEx Proposes Mandatory Quarterly Reporting by Main Board Listed Companies from 2011 Year-End and Other HKEx Initiatives
5 JanuarySFC Emphasises Trigger and Creeper Provisions Will Not be Relaxed and Introduces New Takeovers Code Practice Note on Confirmation of Financial Resources

2008

31 DecemberImplementation of the Extension of the Black Out Period Prohibiting Directors from Dealing in Securities of Listed Issuers Deferred
22 DecemberConsultation Conclusions on Proposed Companies Ordinance Amendments in Relation to Company Names Directors Duties Corporate Directorships and Registration of Charges Published
17 DecemberHKEx Publishes Consultation Conclusions on Combined Consultation Proposals Listing Rule Amendments Take
24 NovemberListed Companies Disclosure Obligations HKEx Issues Reminder and Guidance
10 NovemberNo Change to General Offer Trigger Point and Creeper under Takeovers Code Guidelines for the Exemption of Listed Corporations from Part Xv of the SFO Amended to Facilitate Exchange-Traded Funds
22 MayNew Growth Enterprise Market Rules Come into Effect
13 MayHong Kong Depositary Receipt Framework to be Implemented
19 MarchHKEx Publishes Combined Consultation Paper on Amendments to the Listing Rules
10 MarchHKExs Revised Suspension Policy

2007

19 DecemberSFC Proposes to Mandate Electronic Submission of Disclosure of Interests Notices and Licensed Corporations Financial Returns HKEx Signs Mou With Hochiminh and Mongolia Stock Exchanges
26 NovemberAmendments to the Companies Ordinance Relating to Non-Hong Kong Companies
14 NovemberPilot Scheme Requiring the Early Posting of a Near Final Draft IPO Prospectus on the HKEx Website to Commence January 2008
6 NovemberListing Decisions on pre-IPO Convertible Bond Issues
8 OctoberSFC Publishes Guidance on Takeovers Code
3 OctoberSFC Publishes Consultation Paper on Proposed Amendments to the Codes on Takeovers and Mergers and Share Repurchases
10 SeptemberHKEx Publishes Consultation Paper on Periodic Financial Reporting
6 AugustHKEx Proposes a Second Board Model for Gem Invites Responses on Consultation Paper
23 JulyHKEx Issues Reminder to Listed Issuers Regarding Suspension Related Matters under the Electronic Disclosure Regime
20 JuneSFC Adopts New Approach to Licensing of Fund Managers
11 AprilAbolition of the Requirement for Main Board Issuers to Publish Paid Newspaper Announcements
16 MarchStock Exchange and SFC Announce Joint Policy Statement Regarding the Listing of Overseas Companies
12 MarchRevised Approach Adopted for the Introduction of a Statutory Listing Regime
5 MarchNew Position Limits for H-Shares Index Futures and Options
29 JanuaryHKEx Releases Strategic Plan for 2007-2009

2006

6 DecemberHong Kong Stock Exchange Accepts Listing of Companies Incorporated in Australia and British Colombia
1 NovemberAbolition of Listed Issuers Short-Form Preliminary Results Announcements
9 OctoberSFC Publishes Consultation Conclusions on Possible Reforms to the Companies Ordinance Prospectus Regime
13 SeptemberUpdate on New Sponsor Requirements
21 AugustHKEx Publishes Guide on pre-Vetting Requirements for Announcements
16 AugustStock Exchange Publishes Conclusions on Abolition of the Requirement for Main Board Issuers to Publish Paid Announcements in Newspapers
14 JuneNew Requirements for Securities Firms and New Paid-Up Share Capital Requirement for Sponsors
12 MayNew Sponsor Requirements
7 FebruarySFC to Implement Securities Collateral Re-Pledging Limit in 2 Phases and HKFE Announces Revised Margins for H-Shares Index and Petrochina Futures Contracts
25 JanuarySFC HKEx Publishes Discussion Paper on Gem
18 JanuaryStock Exchange Proposes Abolition of Requirement for Main Board Issuers to Publish Paid Announcements in Newspapers

2005

10 DecemberSFC Launches a Six-Point Plan for the Derivative Warrants Market
20 OctoberHKEx Invites Comments on the Derivative Warrants Market
3 OctoberAmendments to the Hedge Fund Guidelines
29 SeptemberSFC Publishes Consultation Paper on Possible Reforms to the Companies Ordinance Prospectus Regime
22 SeptemberAmendments to the Definitions of Regulated Activities in Schedule 5 of the Securities and Futures Ordinance
7 SeptemberSFC Amendments to the Codes on Takeovers Mergers and Share Repurchases
28 JulySFC Publishes Consultation Conclusions on Amendments to the Disclosure of Interests Regime
13 JulyProposed New Regulatory Regime For Sponsors
6 JuneProposed Revision of the SFCs Guidance Note on Prevention of Money Laundering and Terrorist Financing and New Shareholder Remedies under the Companies Ordinance
3 MaySFC-Authorised Funds and Unit Trusts Permitted to Invest in Listed Reits
18 AprilGuidelines on Analyst Conflicts of Interest
29 MarchProposed Amendments to the SFO to Give Statutory Backing to Major Listing Rules
15 FebruarySFC Issues Consultation Paper on Amendments to the Disclosure of Interests Regime
26 JanuarySecond Consultation Paper on Exemption of Offshore Funds from Hong Kong Profits Tax

2004

2 DecemberHong Kong Stock Exchanges Code on Corporate Governance Practices and Corporate Governance Report
16 NovemberAmendments to the Listing Rules Relating to the Regulation of Sponsors and Independent Financial Advisers
27 OctoberNew Companies Ordinance Prospectus Regime
23 AugustHong Kong Legal Update
17 MaySummary of Changes to the GEM Listing Rules
13 MayProposed Amendments to the Listing Rules Relating to the Regulation of Sponsors and Independent Financial Advisers
25 MarchAmendments to The Main Board Listing Rules
16 JanuaryThe Companies Amendment Ordinance 2003

2003

22 DecemberRecent Changes to the Companies Ordinance Prospectus Regime
18 NovemberRegulation Of Offers Of Investments Under Part IV Securities And Futures Ordinance
16 OctoberThe New Licensing Regime under the Securities and Futures Ordinance
1 OctoberDisclosure of Interests under the Securities and Futures Ordinance - Update
24 SeptemberStabilisation under the Securities and Futures Price Stabilising Rules
20 JuneProposed Increased Regulation of IPO Intermediaries
2 JuneMarket Misconduct under the Securities and Futures Ordinance
20 MayInsider Dealing under the Securities and Futures Ordinance
2 AprilDisclosure of Interests under the Securities and Futures Ordinance

2013

8 OctoberSpecial Topic - Shanghai Free-Trade Zone
3 OctoberNon-Ferrous Metals Investment Adopts Leverage Model

2012

30 AugustChina News Alert Issue 360

2011

30 SeptemberChina News Alert Issue 359
3 AugustChina News Alert Issue 358
12 JulyChina News Alert Issue 357
30 JuneChina News Alert Issue 356

2010

12 NovemberChina News Alert Issue 355
4 NovemberChina News Alert Issue 354
29 OctoberChina News Alert Issue 353
17 SeptemberChina News Alert Issue 352
10 SeptemberChina News Alert Issue 351
3 SeptemberChina News Alert Issue 350
2 AugustChina News Alert Issue 349
23 JulyChina News Alert Issue 348
16 JulyChina News Alert Issue 347
12 JulyChina News Alert Issue 346
4 JulyChina News Alert Issue 345
28 JuneChina News Alert Issue 344
21 JuneChina News Alert Issue 343
14 JuneChina News Alert Issue 342
7 JuneChina News Alert Issue 341
31 MayChina News Alert Issue 340
23 MayChina News Alert Issue 339
14 MayChina News Alert Issue 338
7 MayChina News Alert Issue 337
30 AprilChina News Alert Issue 336
26 AprilChina News Alert Issue 335
19 AprilChina News Alert Issue 334
12 AprilChina News Alert Issue 333
7 AprilChina News Alert Issue 332
29 MarchChina News Alert Issue 331
22 MarchChina News Alert Issue 330
18 MarchChina News Alert Issue 329
8 MarchChina News Alert Issue 328
1 MarchChina News Alert Issue 327
17 FebruaryChina News Alert Issue 326
8 FebruaryChina News Alert Issue 325
1 FebruaryChina News Alert Issue 324
25 JanuaryChina News Alert Issue 323
12 JanuaryChina News Alert Issue 322
6 JanuaryChina News Alert Issue 321

2009

30 DecemberChina News Alert Issue 320
21 DecemberChina News Alert Issue 319
15 DecemberChina News Alert Issue 318
9 DecemberChina News Alert Issue 317
1 DecemberChina News Alert Issue 316
26 NovemberChina News Alert Issue 315
17 NovemberChina News Alert Issue 314
10 NovemberChina News Alert Issue 313
3 NovemberChina News Alert Issue 312
29 OctoberChina News Alert Issue 311
23 OctoberChina News Alert Issue 310
12 OctoberChina News Alert Issue 309
29 SeptemberChina News Alert Issue 308
24 SeptemberChina News Alert Issue 307
15 SeptemberChina News Alert Issue 306
9 SeptemberChina News Alert Issue 305
4 SeptemberChina News Alert Issue 304
26 AugustChina News Alert Issue 303
19 AugustChina News Alert Issue 302
12 AugustChina News Alert Issue 301
5 AugustChina News Alert Issue 300
28 JulyChina News Alert Issue 299
22 JulyChina News Alert Issue 298
15 JulyChina News Alert Issue 297
7 JulyChina News Alert Issue 296
30 JuneChina News Alert Issue 295
24 JuneChina News Alert Issue 294
15 JuneChina News Alert Issue 293
10 JuneChina News Alert Issue 292
3 JuneChina News Alert Issue 291
25 MayChina News Alert Issue 290
18 MayChina News Alert Issue 289
5 MayChina News Alert Issue 288
28 AprilChina News Alert Issue 287
20 AprilChina News Alert Issue 286
16 AprilChina News Alert Issue 285
7 AprilChina News Alert Issue 284
31 MarchChina News Alert Issue 283
16 MarchChina News Alert Issue 282
9 MarchChina News Alert Issue 281
2 MarchChina News Alert Issue 280
23 FebruaryChina News Alert Issue 279
16 FebruaryChina News Alert Issue 278
9 FebruaryChina News Alert Issue 277
23 JanuaryChina News Alert Issue 276
19 JanuaryChina News Alert Issue 275
12 JanuaryChina News Alert Issue 274
5 JanuaryChina News Alert Issue 273

2008

29 DecemberChina News Alert Issue 272
22 DecemberChina News Alert Issue 271
15 DecemberChina News Alert Issue 270
8 DecemberChina News Alert Issue 269
1 DecemberChina News Alert Issue 268
26 NovemberChina News Alert Issue 267
19 NovemberChina News Alert Issue 266
12 NovemberChina News Alert Issue 265
5 NovemberChina News Alert Issue 264
28 OctoberChina News Alert Issue 263
22 OctoberChina News Alert Issue 262
15 OctoberChina News Alert Issue 261
8 OctoberChina News Alert Issue 260
24 SeptemberChina News Alert Issue 259
17 SeptemberChina News Alert Issue 258
10 SeptemberChina News Alert Issue 257
3 SeptemberChina News Alert Issue 256
27 AugustChina News Alert Issue 255
20 AugustChina News Alert Issue 254
13 AugustChina News Alert Issue 253
6 AugustChina News Alert Issue 252
29 JulyChina News Alert Issue 251
23 JulyChina News Alert Issue 250
16 JulyChina News Alert Issue 249
9 JulyChina News Alert Issue 248
2 JulyChina News Alert Issue 247
25 JuneChina News Alert Issue 246
18 JuneChina News Alert Issue 245
11 JuneChina News Alert Issue 244
2 JuneChina News Alert Issue 243
28 MayChina News Alert Issue 242
21 MayChina News Alert Issue 241
15 MayChina News Alert Issue 240
7 MayChina News Alert Issue 239
30 AprilChina News Alert Issue 238
23 AprilChina News Alert Issue 237
17 AprilChina News Alert Issue 236
9 AprilChina News Alert Issue 235
2 AprilChina News Alert Issue 234
26 MarchChina News Alert Issue 233
19 MarchChina News Alert Issue 232
12 MarchChina News Alert Issue 231
5 MarchChina News Alert Issue 230
27 FebruaryChina News Alert Issue 229
20 FebruaryChina News Alert Issue 228
14 FebruaryChina News Alert Issue 227
30 JanuaryChina News Alert Issue 226
23 JanuaryChina News Alert Issue 225
16 JanuaryChina News Alert Issue 224
9 JanuaryChina News Alert Issue 223
3 JanuaryChina News Alert Issue 222

2007

19 DecemberChina News Alert Issue 221
12 DecemberChina News Alert Issue 220
5 DecemberChina News Alert Issue 219
28 NovemberChina News Alert Issue 218

2005

28 JulyChina News Alert Issue 112
20 JulyChina News Alert Issue 111
14 MarchChina News Alert Issue 93
7 FebruaryChina News Alert Issue 88
14 JanuaryChina News Alert Issue 86

2004

31 DecemberChina News Alert Issue 85
23 DecemberChina News Alert Issue 84
9 DecemberChina News Alert Issue 83
3 DecemberChina News Alert Issue 82
26 NovemberChina News Alert Issue 81
19 NovemberChina News Alert Issue 80
11 NovemberChina News Alert Issue 79
8 JulyChina News Alert Issue 62
14 JuneChina News Alert Issue 58
2 JuneChina News Alert Issue 57
25 MayChina News Alert Issue 56
20 MayChina News Alert Issue 55
26 AprilChina News Alert Issue 53
19 AprilChina News Alert Issue 52

2021

May 2021Response to the SFC Consultation Paper on (i) the Proposed Code of Conduct on Bookbuilding and Placing Activities in Equity Capital Market and Debt Capital Market Transactions and (ii) the “Sponsor Coupling” Proposal
Jan 2021Response to the HKEX Consultation Paper on the Main Board Profit Requirement

2019

Dec 2019Secondary Listing Innovative Chinese Companies on HKEx

2018

May 2018Consultation Conclusions on WVR Listings and Concessionary Route to Secondary Listing
May 2018New Rules Listing Biotech Companies on the Hong Kong Stock Exchange

2017

Jun 2017Chapter 21 listings
Mar 2017Initial public offering – Listing on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited

2016

Jun 2016Introduction to listing of publicly offered debt securities in Hong Kong
Mar 2016Listing Russian companies in Hong Kong
Feb 2016Initial public offering – Listing on the Stock Exchange of Hong Kong Limited

2015

Aug 2015Listing mainland companies in Hong Kong
Apr 2015Russian companies listing on the Hong Kong Stock Exchange
Mar 2015Detailed analysis of listing mineral companies on the Hong Kong Stock Exchange
Feb 2015Listing international companies in Hong Kong – 2015 update
Feb 2015Listing international companies on the Hong Kong Stock Exchange: 2015 Update
Feb 2015Doing business in China and the Hong Kong SAR: Key issues for Russian companies to consider

2014

Dec 2014Listing overseas companies on the Stock Exchange of Hong Kong Limited
Dec 2014Listing mineral companies in Hong Kong
Dec 2014A Hong Kong corporate finance law firm
Nov 2014Breakfast round table brief: Hong Kong Stock Exchange’s weighted voting rights concept paper
Oct 2014Pre-IPO investments
Oct 2014Listing PRC companies in Hong Kong using VIE structures
Sep 2014Spin-off of wholly owned subsidiary of a Hong Kong listed company
Sep 2014Hong Kong Stock Exchange publishes concept paper on weighted voting rights
Sep 2014Listing PRC companies in Hong Kong
Sep 2014Requirements for an offering and listing in the U.K., U.S. or Hong Kong
Jul 2014Introduction to listing on the Main Board of the Hong Kong Stock Exchange
Jul 2014Potential liabilities under Hong Kong Law in connection with the publication of a prospectus on the listing of a company on the Stock Exchange of Hong Kong
Jun 2014Listing on the GEM of the Hong Kong Stock Exchange
Jun 2014Comparison of GEM and second board of Singapore on listing, transfer and spin-off requirements
Jun 2014Listing PRC companies on the Hong Kong Stock Exchange
Feb 2014Introduction to the listing of H shares of PRC companies on the Stock Exchange of Hong Kong Limited (the “Main Board”)

2013

Dec 2013The 10 most important things to know about listing a mineral company on The Stock Exchange of Hong Kong Limited (“HKEx”)
Nov 2013The regulatory regime for IPO sponsors in Hong Kong
Jul 2013Listing in Hong Kong by way of HDRs

2012

Nov 2012China laws and regulations for PRC companies seeking a listing on HKEx

2007

Nov 2007Introduction to the listing of H shares of PRC Companies on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited (“the GEM”)

2006

Aug 2006HKEx publishes research on overseas experience of growth company markets
Aug 2006HKEx publishes research on the development and operation of the Growth Enterprise Market
Aug 2006HKEx publishes research on the Singapore dimension of HKEx’s markets
Aug 2006HKEx publishes research on the Taiwan dimension of HKEx’s markets
Jan 2006The route to AIM
Jan 2006Comments on the Stock Exchange’s discussion paper on the Growth Enterprise Market

2005

Sep 2005Summary of requirements for listing closed-ended funds

2004

Oct 2004Introduction to listing on AIM UK

2003

Mar 2003Introduction to the listing of PRC Companies on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited

2002

Aug 2002Brief introduction to the consultation paper on proposed amendments to the Listing Rules relating to initial listing eligibility and cancellation of listing procedures
Feb 2002Listing on the Hong Kong Stock Exchange – document list

2000

Aug 2000The Securities and Futures Bill
Jun 2000Key summary points on the consultation paper on proposed amendments to the Hong Kong Listing Rules relating to initial listing eligibility and cancellation of listing procedures
May 2000Responsibilities of a PRC director of a GEM listed company
May 2000Documentary requirements for a PRC GEM applicant

2020

May 2020The licensing regime in Hong Kong
May 2020Bonds issues in Hong Kong
Apr 2020Charity Governance in Hong Kong

2019

Apr 2019The Connected Transaction Rules of the Hong Kong Stock Exchange (Main Board)

2017

Oct 2017Licensing for commodities related activities
Feb 2017Listing exchange traded funds (ETFs) on the Stock Exchange of Hong Kong Limited
Feb 2017The Licensing Regime under The Securities and Futures Ordinance

2016

Jun 2016Listed company guide to inside information
May 2016Environmental social and governance reporting guide for companies listed on the HKEx
May 2016Private placement of bonds
Feb 2016Hong Kong crowd funding and the associated risks
Jan 2016Responsibilities of directors of companies listed on the Main Board of the Stock Exchange of Hong Kong Limited
Jan 2016Responsibilities of directors of companies listed on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited

2015

Jun 2015Regulation of crowd funding in Hong Kong
Jun 2015Hong Kong regulation of crowd funding
Jun 2015Mainland-Hong Kong Mutual Recognition of Funds Initiative to launch on 1 July 2015: Hong Kong distribution opportunities for China funds
May 2015Hong Kong corporate finance regulation 2014 and 2015 – IPO sponsor due diligence regime update
Apr 2015The connected transactions rules in Hong Kong
Apr 2015Hong Kong listing rules: connected transactions
Apr 2015Opportunities for Russian companies to raise debt finance in Hong Kong
Apr 2015Listing of debt securities for professional investors on The Stock Exchange of Hong Kong Limited
Jan 2015SFC’s powers to seek compensation for investors
Jan 2015Disclosure of interests under the Securities and Futures Ordinance

2014

Dec 2014A Hong Kong corporate finance law firm
Nov 2014Fund structures
Nov 2014Structuring a private equity fund to be marketed in Europe
Oct 2014Regulatory implications of offering securities to employees in Hong Kong
Oct 2014Ongoing compliance matters for a licensed corporation to carry out certain regulated activities
Jul 2014The Hong Kong Code on Takeovers and Mergers
Jul 2014The Hong Kong Code on Takeovers and Mergers
Jul 2014The Listing Rules’ requirements for reverse takeovers of Hong Kong listed companies
Jul 2014The 10 most important things to know about reverse takeovers (RTOs) of Hong Kong listed companies
Jul 2014Insider dealing under the Securities and Futures Ordinance
Jun 2014Hong Kong listing rules amendments changes to the connected transaction rules
Jun 2014Obligations of directors of the offeror under the Code on Takeovers and Mergers
Jun 2014Marketing mutual funds in Hong Kong
Jun 2014Marketing non-corporate funds in Hong Kong
Jun 2014Marketing by an overseas company of shares in Hong Kong
May 2014Market misconduct under the Securities and Futures Ordinance
Apr 2014Rights issue and open offer in Hong Kong
Apr 2014Charltons’ funds practice
Jan 2014Backdoor listing

2013

Dec 2013The statutory regime for listed companies’ disclosure of inside information
Nov 2013Annual retainer services
Aug 2013Statutory regime for the disclosure of price sensitive information – the Implications for listed companies and their directors
Jul 2013The 10 most important things to know about Hong Kong SFC licensing for commodities related activities
Jun 2013Mergers and acquisitions

2012

Dec 2012Hedge funds: the regulatory approach in Hong Kong
Nov 2012Directors‘ roles & responsibilities – dealing with dysfunctional boards/crises/emergencies

2009

Jun 2009Approvals and notifications required in relation to transfers of shares of a licensed corporation in Hong Kong

2005

Apr 2005Guidelines on analyst conflicts of interest effective 1 April 2005

2002

Aug 2002Guidance to the Securities and Futures Ordinance, Cap. 571

2000

Jul 2000The mandatory provident fund

2023

Oct 2023Hong Kong Regulation of Virtual Assets Trading Platforms
Oct 2023Insider Dealing in Hong Kong – Overview & Update 2023
Oct 2023HKEX Consultation Paper on GEM Listing Reforms
Sep 2023Regulatory Landscape for Web3 & Digital Assets – a Global & GCC Perspective
Aug 2023Regulatory Clarity in Asia’s Crypto Hubs: Hong Kong and Singapore
Aug 2023SFC Consultation on Proposed Amendments to the Codes on Takeovers and Mergers and Share Buy-Backs
Jul 2023Overview of Hong Kong VASP Licensing & SFC Consultation Conclusions on Regulatory Requirements for SFC Licensed Crypto Exchanges
Jun 2023Overview of the legal systems of Abu Dhabi, Dubai and Hong Kong
Apr 2023SFC Consults on Proposed Regulatory Requirements for Hong Kong Licensed Virtual Asset Trading Platform Operators
Mar 2023HKEX and SFC Disciplinary & Enforcement Actions between May and August 2022 – part 2
Mar 2023HKEX and SFC Disciplinary & Enforcement Actions between January and April 2022 – part 1

2022

Nov 2022Listing Asian companies on Aquis
Nov 2022Listing Opportunities on Nasdaq Dubai
Nov 20222022 Virtual Asset (Crypto) Service Providers & Dealers in Precious Metals & Stones: Hong Kong’s New Regulatory Regimes
Oct 20222022 SFC Bookbuilding Conduct Requirements – HKEX Listing Rules & Transitional Arrangements
Oct 20222022 Insider Dealing in Hong Kong – Overview & Update
Oct 2022Listing Pre-Revenue Biotech Companies
Oct 2022Listing Mineral Companies
Oct 2022Disclosure of Interests
Oct 2022Crypto licensing regime in the UAE webinar
Oct 2022Webinar 3 of Hong Kong Crypto Regulation Webinar Series 2022
Oct 2022Webinar 2 of Hong Kong Crypto Regulation Webinar Series 2022
Oct 2022Webinar 1 of Hong Kong Crypto Regulation Webinar Series 2022
May 2022Webinar on the HKEX’s New Listing Regime for Overseas Issuers
Apr 2022Webinar on the HKEX’s proposed Listing Rule changes for listed company share schemes
Mar 2022Webinar on the HKEX new listing regime for SPACs
Feb 2022What to expect from the Chinese economy in 2022
Jan 2022Webinar on STOs in Hong Kong

2021

Dec 2021Webinar on SFC Consultation Conclusion on Bookbuilding and Placing Activities and Sponsor Coupling
Oct 2021Webinar on HKEX Consultation Paper on SPACs
Sep 2021Julia Charlton on Introduction to Hong Kong’s role in the Greater Bay Area
Sep 2021HKEX Listing Rule Changes on Disciplinary Powers and Sanctions
Jul 2021Cryptocurrency Funds and Virtual Assets in Hong Kong and Cayman
Jul 2021Webinar on China’s Greater Bay Area: Exploring Key Sectors for Direct Investment and M&A
Jul 2021COVID-19 Vaccination. What are you waiting for? | Presentation by Dr James H B Kong
May 2021Panel on Fundraising landscape for tech companies Hong Kong from series A to IPO — hot industries, perspectives
May 2021Panel on Service provider insights – legal system, tax regime, immigration opportunities for rising talents and entrepreneur
May 2021Webinar on HKEX Consultation Paper on the Listing Regime for Overseas issuers
Apr 2021Webinar on SFC’s consultation on a proposed Code of Conduct for Hong Kong Bookbuilding and Placing Activities and Proposal on Sponsor Coupling
Apr 2021Webinar on HKEX Consultation Paper on The Review of Corporate Governance Code and Related Listing Rules
Apr 2021Charltons presented webinar on SFC Consultation on Proposed Code of Conduct on Bookbuilding and Placing Activities and Proposal on Sponsor Coupling
Mar 2021Webinar 3 – Financial distress and restructuring (issues for consideration for Hong Kong listed issuers) of webinar series on Insolvency, restructuring & recovery
Mar 2021Webinar on Fundamentals of funds in Cayman and Hong Kong
Mar 2021On 26 March 2021, Julia Charlton moderated a virtual roundtable on Listing in London
Mar 2021Webinar 2 – Restructuring options of webinar series on Insolvency, restructuring & recovery
Mar 2021Webinar 1 – Financial distress: identification, liabilities and relief of webinar series on Insolvency, restructuring & recovery
Feb 2021On 26 February 2021, Charltons presented Webinar 7 of Charltons Online Crypto Regulation Forum
Feb 2021On 19 February 2021, Charltons presented Webinar 6 of Charltons Online Crypto Regulation Forum
Feb 2021On 5 February 2021, Charltons presented Webinar 5 of Charltons Online Crypto Regulation Forum
Feb 2021BritCham HK’s webinar on the Role of outside advisers
Jan 2021On 29 January 2021, Charltons presented Webinar 4 of Charltons Online Crypto Regulation Forum
Jan 2021Webinar on The HKEX profit requirement proposals – consultation on the Main Board profit requirement
Jan 2021On 22 January 2021, Charltons presented Webinar 3 of Charltons Online Crypto Regulation Forum
Jan 2021On 15 January 2021, Charltons presented Webinar 2 of Charltons Online Crypto Regulation Forum
Jan 2021On 08 January 2021, Charltons presented Webinar 1 of Charltons Online Crypto Regulation Forum

2020

Dec 2020Charltons presented webinar on The HKEX profit requirement proposals – consultation on the Main Board profit requirement
Dec 2020Webinar on HKEX’s listing biotech (3rd section) and mineral companies
Dec 2020Webinar on HKEX: Secondary Listing of “innovative” companies and listing biotech companies (1st section)
Dec 2020Julia Charlton authors chapter on “The Value of External Advisers” in the HKEX’s December 2020 publication: “Making inroads into good Corporate Governance and ESG management”
Dec 2020Webinar on HKEX – Listing WVR structured companies
Nov 2020Force majeure concept under Russian civil law and Myanmar common law
Oct 2020International Forum «Volgograd dialogue» | Hong Kong – super connector in Belt and Road Initiative
Aug 2020On 31 August 2020, Charltons presented Part V: Corporate Governance Code and the Takeovers Code of a Webinar Series on Responsibilities of HKEx-listco Directors
Aug 2020On 29 August 2020, Charltons presented Part IV: Connected transactions of a Webinar Series on Responsibilities of HKEx-listco Directors
Aug 2020On 28 August 2020, Charltons presented Part III: Notifiable transactions of a Webinar Series on Responsibilities of HKEx-listco Directors
Aug 2020On 26 August 2020, Charltons presented Part II: Disclosure requirements of listed companies and directors of a Webinar Series on Responsibilities of HKEx-listco Directors
Aug 2020On 24 August 2020, Charltons presented Part I: Directors’ duties and liability for breaching Listing Rule Obligations of a Webinar Series on Responsibilities of HKEx-listco Directors
Jul 2020Webinar on Legal Developments in Myanmar amid-COVID-19
Jul 2020Webinar on Exchange Listings of Myanmar Business: the Options
Jun 2020Webinar on Microfinance and Fintech in Myanmar amid COVID-19
May 2020CPD Seminar on Insider Dealing under the SFO
May 2020Webinar on the Impact of COVID-19 on Labour-intensive Industry in Myanmar

2019

Dec 2019Secondary Listing Innovative Chinese Companies on HKEx
Jan 2019Hong Kong’s Progress towards a Paperless Securities Market

2017

Jun 2017Chapter 21 listings
Jan 2017Belt and Road and Hong Kong

2016

Nov 2016Presentation on Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect Update: A New Chapter in Connecting International and Chinese Investors
Nov 2016Speech on Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect Update
Feb 2016Hong Kong crowd funding and the associated risks
Jan 2016Developing sustainable strategic partnerships in Myanmar mining industry
Jan 2016Overview of responsibilities of directors of companies listed on the Main Board of The Stock Exchange of Hong Kong Limited
Jan 2016Overview of responsibilities of directors of companies listed on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited

2015

Aug 2015Listing mainland companies in Hong Kong
Jun 2015Financial Services Development Council publications on potential improvements to Hong Kong’s financial services industry regulation
Apr 2015Russian companies listing on the Hong Kong Stock Exchange
Feb 2015Listing international companies in Hong Kong – 2015 update
Feb 2015Doing business in China and the Hong Kong SAR: Key issues for Russian companies to consider
Jan 2015Hong Kong corporate finance regulation 2014 and 2015 – IPO sponsor due diligence update

2014

Nov 2014Breakfast round table brief: Hong Kong Stock Exchange’s weighted voting rights concept paper
Sep 2014Listing PRC companies in Hong Kong
Jul 2014The Hong Kong Code on Takeovers and Mergers
Jun 2014Key changes under the 2014 Hong Kong Companies Ordinance

2013

Dec 2013The statutory regime for listed companies’ disclosure of inside information
Nov 2013The regulatory regime for IPO sponsors in Hong Kong

2012

Sep 2012An update on China company and securities law

2007

Mar 2007Sponsors – the regulatory regime

2006

Nov 2006Proposals for the reform of the Companies Ordinance prospectus regime
Jun 2006Recent developments in the regulation of sponsors in Hong Kong

2005

Oct 2005The Code on Corporate Governance Practices and the corporate governance report
Sep 2005Recent developments in the regulation of Hong Kong sponsors
Sep 2005Amendments to the Codes on Takeovers and Mergers and Share Repurchases effective 1 October 2005
Jan 2005A guide for the effective board
Jan 2005Amendments to the Listing Rules: Amendments relating to sponsors and IFAs effective 1 January 2005 and amendments relating to continuing obligations effective 30 March 2004

2004

Mar 2004Mergers and acquisitions in China

2003

Dec 2003Aspects of the Securities and Futures Ordinance: disclosure of Interests, insider dealing, regulation of offers of investments, market misconduct and the stabilisation rules
Nov 2003Guidelines on corporate governance for SMEs in Hong Kong
Sep 2003Hong Kong securities law and listing rules
Sep 2003Recent developments in corporate governance in Hong Kong and the PRC
Apr 2003The establishment of operations in Hong Kong and Shenzhen
Apr 2003The establishment of operations in Shenzhen

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