Hong Kong Law

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    SFC and HKEx Disciplinary Actions in April 2022

    SFC and HKEx Disciplinary Actions in April 2022

    The Hong Kong regulatory enforcement actions concluded in April 2022 included the Takeovers Executive’s public criticism of two former directors for breach of the SFC Takeovers Code’s no frustrating actions rule
    ETFs to be included in Hong Kong-China Stock Connect

    ETFs to be included in Hong Kong-China Stock Connect

    The CSRC and SFC announced plans to allow eligible exchange-traded funds (ETFs) by Mainland and Hong Kong exchanges in Stock Connect. Implementation of the proposed arrangements will come in about two months.
    HKEx and SFC Disciplinary Actions in March 2022

    HKEx and SFC Disciplinary Actions in March 2022

    In March 2022, the HKEx announced the results of a disciplinary action against former directors of a Chapter 21-listed investment company and the SFC published the outcomes of 4 disciplinary actions.
    Recent HKEx and SFC Disciplinary Actions

    Recent HKEx and SFC Disciplinary Actions

    Recent HKEx and SFC Disciplinary Actions in February including censures, imposing a prejudice to investors’ interests statement, fining, banning for life, and requiring training on regulatory and legal topics
    SFC Enforcement Actions in January and February 2022

    SFC Enforcement Actions in January and February 2022

    The SFC and HKEX brought a number of disciplinary actions against SFC-licensed intermediaries for regulatory breaches and against HKEX-listed companies for corporate misconduct in the last two months of 2021