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Hong Kong Stock Exchange Consults on Allowing Publication of PSI During Trading Hours Subject to Trading Halts
Aug 15, 2012
Hong Kong Exchanges and Clearing Limited (the Exchange) has published a consultation paper (Consultation Paper) on proposals to allow the release of price sensitive information (PSI) during trading hours subject…
SFC Publishes Consultation Conclusions on Amendments to the Code of Conduct
Jul 10, 2012
In May 2012, the Securities and Futures Commission (SFC) published its consultation conclusions (Consultation Conclusions) on the proposals set out in its November 2011 consultation paper…
Hong Kong Stock Exchange Publishes Guidance on Listed Issuers Continuous Disclosure Obligations and on Disclosure of Distributorship Business Models in Listing Documents
Jun 11, 2012
In a letter published on 10 May 2012, the Stock Exchange of Hong Kong Limited (the Exchange) reminds listed issuers of their continuous disclosure obligation in light of enquiries regarding the handling of market…
Hong Kong Stock Exchange Publishes Guidance Letter on Profit Forecasts under Main Board Rules and Gem Rule
May 30, 2012
The Stock Exchange of Hong Kong (Exchange) published on 8 May 2012 a guidance letter (HKEx-GL35-12) on profit forecast in the IPO process to provide guidance and clarification on the following areas: the difference…
Securities and Futures Commission Publishes Consultation Paper on the Regulation of Sponsors
May 24, 2012
The Securities and Futures Commission (SFC) published a consultation paper (Consultation Paper) in May 2012 to seek views and comments on its proposals concerning the conduct of sponsors in meeting…
Statutory Regime for Disclosure of Price Sensitive Information
May 11, 2012
The new statutory regime governing listed corporations’ (corporations) disclosure of price sensitive information (referred to in the new legislation as “inside information”) (PSI) will come into effect on 1 January…
Hong Kong Stock Exchange Issues Guidance on Hard Underwriting Disclosure and SFC Fines Investors for Illegal Short Selling and SFC Fines and Revokes Licence of An IPO Sponsor
May 4, 2012
Hong Kong Exchanges and Clearing Limited (HKEx) has issued a new guidance letter HKEx-GL34-12 (Guidance Letter) in relation to the disclosure of “hard” underwriting arrangements in listing documents. Such…
New Anti-Money Laundering and Counter-Terrorist Financing Requirements for SFC Licensed Corporations
May 2, 2012
New statutory customer due diligence (CDD) and record-keeping obligations for financial institutions were implemented by the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance…
Hong Kong Stock Exchange Issues Guidance Letter on Disclosure of Use of Proceeds in New Applicants Listing Documents
Apr 26, 2012
In April 2012, the Stock Exchange of Hong Kong Limited (Exchange) issued a guidance letter (HKEx-GL33-12) (Guidance Letter) on the disclosure of the intended use of proceeds by new applicants in listing documents…
Hong Kong Stock Exchange Publishes Guide to Connected Transaction Rules
Apr 25, 2012
On 20 April, The Stock Exchange of Hong Kong Limited (HKEx or the Exchange) published a plain language guide to the requirements for connected transactions (including continuing connected transactions) set out in the…
Hong Kong Stock Exchange Publishes Guidance Letter on the Accounting and Disclosure Requirements for Acquisitions of Subsidiaries and Businesses Conducted During Or After the Trading Record Period
Apr 12, 2012
The Stock Exchange of Hong Kong (Exchange) published on 28 March 2012 a guidance letter (HKEx-GL32-12) on the accounting and disclosure requirements for subsidiaries and businesses acquired or agreed/proposed to…
Amendments to the Takeovers Code
Mar 27, 2012
On 23 March 2012, the Securities and Futures Commission (SFC) released its consultation conclusions (Conclusions) on the amendments to the Codes on Takeovers and Mergers and Share Repurchases (the Takeovers Code)…