Jun 15, 2017
The People’s Bank of China and the Hong Kong Monetary Authority made a joint announcement approving the establishment of mutual access between the Hong Kong bond market and Mainland China’s bond market.
SFC Elaborates on the Liabilities of Directors and Senior Executives of Listed Companies and Senior Management Accountability
Jun 14, 2017
In its newsletter, Enforcement Reporter, the SFC discussed director and senior executive liabilities and senior management accountability in listed companies, particularly in relation to fraud and misfeasance.
Jun 9, 2017
The Supplemental Circular on Leveraged and Inverse Products dated 23 December 2016 details the requirements under which the SFC would consider authorising leveraged and inverse products for public offering.
Backdoor Licensing, Managers-In-Charge of Core Functions and the Legal Liabilities of Senior Management
May 26, 2017
Those who pay for an existing licensed corporation as a “backdoor licence” may not avoid the responsibilities and liabilities. Anyone involved in the management of licensed corporations is liable for breaches.
Apr 19, 2017
The SFC has Published a Statement on Recent Applications to List on GEM by way of Placing and Reminds Listing Applicants, Placing Agents and Sponsors of the Requirement for an Open Market
Mar 22, 2017
SFC Publishes Consultation on Amendments to the Professional Investor Rules expanding the definition of Corporate Professional Investors and the Rules’ evidential requirements
Mar 20, 2017
European Chamber of Commerce Publishes Position Paper on Hong Kong Fintech including Key Recommendations on Fintech Development and Encouraging Collaboration Between the European Commission and HK Government
SFC and HKEX Impose New Requirements for Listing Applicants, Sponsors, Underwriters and Placing Agents of GEM IPOs
Feb 2, 2017
SFC and Exchange Joint Statement and SFC Guideline Imposes New Obligations on Listing Applicants, Sponsors, Underwriters and Placing Agents of GEM IPOs to Address Price Volatility Concerns
Hong Kong is World’s Top IPO Fundraising Market in 2016 while Listed Debt Turnover Rises 126 percent on 2015
Jan 26, 2017
Hong Kong was the world’s largest IPO market in 2016 raising US$25.1 billion in 120 IPOs. Listed debt turnover surged 126% compared to 2015 despite only a small increase in the number of debt issues
Jan 23, 2017
SFC Issues New Guidance on compliance with licensed intermediaries’ obligation to ensure the suitability of investment products for clients
Jan 13, 2017
SFC Circular Introduces New Measures to Increase the Accountability of Licensed Corporations’ Senior Management and Imposes New Reporting Requirements
Dec 30, 2016
SFC Consultation Paper Proposes Tightening Regulation of Hong Kong Fund Managers and Increasing their Point-of-Sale Disclosure Obligations – comments should be submitted by 17.02.2017