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SFC and CSRC Hold High-Level Enforcement Cooperation Meeting
Dec 7, 2022
The SFC and CSRC held its 13th high-level meeting on enforcement cooperation. It included a briefing on recent enforcement outcomes and cooperation, and a consensus to further their cooperation in future.
HKEx and SFC Disciplinary Actions of October 2022
Dec 7, 2022
The SFC actions included an order under s214 SFO for Sound Global’s chairman to purchase shareholders’ shares and the first conviction of an individual under s382 SFO for obstructing SFC search operations.
SFC Practice Note 24: Receivers, Liquidators and Commencement of Offer Periods
Dec 1, 2022
The SFC issued Practice Note 24 regarding receivers, liquidators and when to commence offer period(s) based upon its observations following the SFC Takeovers Bulletin No. 52 of March 2020.
SFC Circular on Virtual Asset Futures Exchange Traded Funds
Nov 14, 2022
The SFC issued its Circular on Virtual Asset Futures Exchange Traded Funds setting out the requirements under which it will consider authorising Virtual Asset Futures ETFs for public offering in Hong Kong.
HKEx Issues Revised Enforcement Sanctions Statement and New Cooperation Guidance
Nov 10, 2022
HKEx issued a revised enforcement sanctions statement and new cooperation guidance on the factors considered in determining sanctions for breaches of the HKEx Listing Rules.
HK Government issues Policy Statement on development of Virtual Assets in Hong Kong
Nov 3, 2022
Hong Kong Government issues Policy Statement on the Development of Virtual Assets in Hong Kong during HK Fintech Week 2022 expressing its willingness to calibrate the Local Legal and Regulatory Regime for VA.
HKEx, SFC and HKMA Disciplinary Actions in September 2022
Oct 31, 2022
The HKEx, SFC and HKMA Disciplinary Actions in September 2022 involved suspensions for breaching the SFC Code of Conduct, fines for contravening the AMLO, and imposing a director unsuitability statement
HKMA’s AML Regtech Lab Series under Fintech 2025
Oct 27, 2022
The HKMA published its Quarterly Bulletin issue 112 which looks at encouraging Regtech under its Fintech 2025 strategy and highlights the importance of technology in improving AML/CFT controls
Court Orders Sound Global Chairman to Purchase Shares from Investors
Oct 24, 2022
The SFC obtained a court order for the chairman and executive director of Sound Global to purchase the shares held by other shareholders at a price to be determined by the court under Section 214 of the SFO.
HKEX Consults on New Listing Regime for Specialist Technology Companies
Oct 23, 2022
The HKEX has issued a consultation paper on a new listing regime for Specialist Technology Companies on the Main Board of the HKEX soliciting market feedback on its proposed amendments to the HKEX Listing Rules
HKMA Issues Position Paper on e-HKD
Oct 18, 2022
HKMA released a position paper entitled “e-HKD: Charting the Next Steps” outlining its next steps on the direction of the e-HKD and its policy stance on a retail Central Bank Digital Currency
SFC Issues Takeovers Bulletin No. 62
Oct 17, 2022
The SFC has published Takeovers Bulletin No. 62 covering recent decisions on the grant of a special waiver from the mandatory general offer obligation and the applicable offer price in case of a special deal under Rule 25