Jan 28, 2014
On 24 January 2014, the Hong Kong Stock Exchange published the following new and updated Guidance Letters: Disclosure requirements for IPO cases – Disclosure of material changes in financial, operational…
Jan 14, 2014
It has been a year since the statutory regime for disclosure of inside information came into effect under Part XIVA of the Securities and Futures Ordinance (SFO), which was implemented on 1 January 2013. The…
Dec 24, 2013
The Hong Kong Stock Exchange has published country guides for twenty of the twenty-one overseas jurisdictions which the Exchange is willing to accept as a listing applicant’s jurisdiction of incorporation.
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…