Dec 23, 2013
The SFO requirement for listed companies to make timely and accurate disclosure of price sensitive information (i.e. inside information) is illustrated in a number of recent regulatory enforcement actions.
Hong 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
Dec 18, 2013
Hong Kong Stock Exchange has published 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
Oct 18, 2013
On 8 October 2013, the SFC published FAQs on the new regime on the regulation of sponsors under the SFC’s new paragraph 17 of the Code of Conduct for Persons Licensed by or Registered with the SFC
SFC Issues Takeovers Bulletin on Dealing Disclosures under Rule 22 and the Exemption from Rule 109 for Companies with Dual Listing
Oct 11, 2013
SFC has published in its Takeovers Bulletin information relating to dealing disclosures under Rule 22 of the Takeovers Code and Rule 10.9’s application to unaudited quarterly results published during an offer period
Stock Exchange and SFC Issue Updated Joint Policy Statement Regarding the Listing of Overseas Companies
Oct 9, 2013
The Stock Exchange of Hong Kong (the Exchange) and the Securities and Futures Commission (SFC) have updated their joint policy statement regarding the listing of overseas companies (Joint Statement).
New 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
Sep 30, 2013
free download of 750+ page hong kong sponsor due diligence guidelines, coordinated by charltons, developed as an initiative of hong kong sponsors to promote standards in the conduct of due diligence for new…
Sep 23, 2013
The Hong Kong Stock Exchange has published guidance letter HKEx-GL66-1 with regard to the criteria for resumption for long suspended companies.
SFC Issues Guidelines on the Application of the CPSS-IOSCO Principles for Financial Market Infrastructures
Sep 19, 2013
The SFC issued Guidelines on the application of the CPSS-IOSCO Principles for Financial Market Infrastructures regarding its expectations of the implementation of the principles by recognised clearing houses.
Exchange Issues Guidance on Documentary Requirements and Administrative Matters Relating to New Listing Applications
Sep 18, 2013
The Stock Exchange of Hong Kong Limited (the Exchange) has published guidance letter HKEx-GL55-13 (the Guidance Letter) which provides guidance on documentary requirements and administrative matters applicable…
Exchange Provides Guidance on Confirmations from Reporting Accounts on Historical Financial Information
Sep 17, 2013
Exchange has published guidance letters on confirmations on accountants’ reports, financial information and profit forecasts and on management discussion and analysis on financial information in listing documents
Exchange Publishes Guidance Letter HKEx-GL6-09A on Financial Information for the Trading Record Period Expected in the First Draft Listing Document for Listing Applications
Sep 16, 2013
Hong Kong Stock Exchange has published a guidance letter setting out the administrative practices on accepting early filings of listing applications and financial information requirements in Application Proof.
Exchange Sets Out Guidance on Logistical Arrangements for the Publication of Application Proofs Post Hearing Information Packs and Related Materials
Sep 13, 2013
The Stock Exchange of Hong Kong Limited (the Exchange) has issued guidance letter HKEx-GL57-13 (see archive) (the Guidance Letter) relating to logistical arrangements for the publication of the Advanced Proofs 1…