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Reporting and Record-keeping Obligations re OTC Derivative Transactions
Dec 18, 2014
In July 2014, the Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) published a consultation paper setting out the detailed proposals for the mandatory reporting and record…
Document Execution at Virtual Signings and Closings
Dec 4, 2014
A recent Hong Kong case acts as a reminder of the importance of following the correct formalities for the execution of documents, and raises important issues in relation to the effectiveness of virtual signing…
China Consults on 2014 Draft of Foreign Investment Catalogue
Dec 1, 2014
On 4th November 2014, China’s National Development and Reform Commission (NDRC) released a revised draft of the Catalogue for Guidance on Foreign Investment in Industries (Catalogue), in conjunction with the Ministry…
Shanghai-Hong Kong Stock Connect to Commence Monday
Nov 10, 2014
The Securities and Futures Commission (SFC) and the China Securities Regulatory Commission (CSRC) announced on 10 November 2014 that Shanghai-Hong Kong Stock Connect, the pilot programme to allow mutual…
HK Exchange Updates Listing Rule Guidance
Nov 6, 2014
Hong Kong Exchanges and Clearing limited (HKEx) has updated Guidance Letter GL58-13 and Frequently Asked Question Series 23 (FAQ 23) to refer to Hong Kong Standard on Investment Circular Reporting…
Exchange Listing Rule Amendments re Financial Information Disclosure under Companies Ordinance
Oct 29, 2014
The Stock Exchange of Hong Kong (the Exchange) has published a consultation paper (see archive) on proposed amendments to the Listing Rules to reflect changes in the requirements for disclosure of financial…
SFC Publishes Consultation Conclusions on Amendments to the Professional Investor Regime and Further Consultation on Client Agreement Requirements
Oct 13, 2014
The Securities and Futures Commission (SFC) has published its consultation conclusions (Consultation Conclusions) on proposed amendments to intermediaries’ obligations in relation to professional investors…
SFC Takeovers Update – Takeovers Bulletin No 30
Oct 8, 2014
The latest issue of the SFC’s Takeovers Bulletin (the Bulletin) published on 30 September: clarifies that where an offer is unconditional from the outset, associates who are not concert parties of the offeror need…
HKEx Publishes Concept Paper on Weighted Voting Rights
Sep 29, 2014
The Stock Exchange of Hong Kong (the Exchange) has published a Concept Paper on Weighted Voting Rights seeking views on whether companies with governance structures giving certain persons voting power or other…
HKEx Stops Initial Check of IPO Application Proofs
Sep 10, 2014
The Hong Kong Stock Exchange (the Exchange) announced on Friday, 9 September 2014 that it will stop carrying out an Initial 3-Day Check of IPO Application Proofs with effect from 1 October 2014. This is due…
SFC Drops Proposed Amendments to Sponsors Prospectus Liability Provisions
Aug 29, 2014
The Securities and Futures Commission (SFC) has announced that proposed legislative amendments to make explicit that sponsors may be subject to criminal and civil liability for deficiencies in IPO prospectuses…
SFC Comments to Focus on Substantive Takeovers Code Issues
Aug 20, 2014
The Takeovers Bulletin (see archive) published by the Securities and Futures Commission (SFC) in June 2014 sets out the Executive’s new approach to commenting on documents which will focus on substantive Code issues…