Hong Kong Law

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    Consultation Conclusions on WVR Listings

    Consultation Conclusions on WVR Listings

    The Guidelines will clarify how SFC-licensed and registered entities should comply in an online environment with the obligation to ensure the suitability of client recommendations and solicitations.
    Continued deficiencies in sponsor work identified by SFC

    Continued deficiencies in sponsor work identified by SFC

    The said deficiencies were especially common for sponsor work done for GEM IPOs. Between October 2013 and December 2017, 44 listing applications were returned or rejected due to concerns raised during the vetting process.
    SFC Guidelines on Online Platforms and Advisory Services

    SFC Consults on Takeovers Code Changes

    The most significant change proposed is to increase the voting approval threshold for whitewash waivers from a simple majority of independent votes to 75%.