Select Page

Hong Kong Law

2017

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 MarchEuropean Chamber of Commerce Publishes Position Paper on Hong Kong Fintech
2 FebruarySFC and SEHK 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
20 OctoberHKMA Launches a Fintech Supervisory Sandbox (FSS)
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
28 AprilSFAT Reprimands and Fines Moody’s HK$11 million over Red Flags Report on Chinese Companies
30 AprilInsider Dealing in Securities Listed Offshore: High Court Interprets Section 300 SFO in Landmark Case
20 AprilSFC Commences Market Misconduct Proceedings for Alleged Breaches of Inside Information Disclosure Requirements
20 AprilHong Kong Stock Exchange Publishes Guidance Letter for Issuers Subject to Rumours or Market Commentaries
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
2 MarchThe Hong Kong Budget 2016: Highlights for the Financial Services Industry
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 DecemberHKEx Targets Backdoor Listings in Application of Cash Company Rules to Large Scale Fundraisings
31 DecemberSFC Consults on Expanding the Scope of Short Position Reporting
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
17 JanuaryHong Kong Stock Exchange Publishes Listing Decision on Controlling Shareholders' Post-IPO Lock-up Restrictions
18 JanuaryHong Kong Corporate Finance Regulation - 2014 Highlights and the Year Ahead
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
 

Hong Kong law

Hong Kong corporate finance

Legal current awareness

Hong Kong law newsletters

Hong Kong legal current awareness

Charltons legal current awareness

Charltons newsletters archive

Foreign investment law

Listing on Hong Kong Stock Exchange

Hong Kong corporate finance law

Shanghai Hong Kong stock connect
HK law