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SFC Releases End-To-End Test Packages and File Transfer Connectivity Guide for the Hong Kong Investor Identification Regime
Apr 28, 2022
SFC releases the end-to-end test packages and file transfer connectivity guide for the Hong Kong Investor Identification Regime (HKIDR), for the preparation work for the mandatory E2E test in mid-May and June 2022
HKEx and SFC Disciplinary Actions in March 2022
Apr 21, 2022
In March 2022, the HKEx announced the results of a disciplinary action against former directors of a Chapter 21-listed investment company and the SFC published the outcomes of 4 disciplinary actions.
First SPAC Lists on HKEX under New SPAC Listing Regime
Apr 1, 2022
The HKEX listed the first special purpose acquisition company (SPAC) on its Main Board on 18 March 2022 following its introduction of a listing regime for SPACs on 1 January 2022.
U.S. President Issues Executive Order on Digital Asset Regulation
Mar 22, 2022
On 9 March 2022, U.S. President Joseph R Biden Jr issued an Executive Order on Ensuring Responsible Development of Digital Assets initiating a comprehensive approach to cryptocurrency regulation and oversight
Recent HKEx and SFC Disciplinary Actions
Mar 8, 2022
Recent HKEx and SFC Disciplinary Actions in February including censures, imposing a prejudice to investors’ interests statement, fining, banning for life, and requiring training on regulatory and legal topics
SFC Enforcement Actions in January and February 2022
Mar 3, 2022
The SFC and HKEX brought a number of disciplinary actions against SFC-licensed intermediaries for regulatory breaches and against HKEX-listed companies for corporate misconduct in the last two months of 2021
HKEX update on timing relief for HKEX listed issuers for the publication of 2021 preliminary financial results
Feb 22, 2022
The HKEX published an updated FAQ on the SFC and HKEX joint statement issued on 4 February 2020 on giving timing relief to HKEX listed issuers for the publication of 2021 preliminary financial results
HKEX and SFC Disciplinary Actions in November to December 2021
Feb 21, 2022
The SFC and HKEX brought a number of disciplinary actions against SFC-licensed intermediaries for regulatory breaches and against HKEX-listed companies for corporate misconduct in the last two months of 2021
SFC and HKMA Issue Joint Circular on Intermediaries’ Virtual Asset-related Activities
Feb 9, 2022
The SFC/HKMA circular of 28th January 2022 sets out guidance for intermediaries distributing virtual asset-related products or providing virtual asset dealing or advisory services
HKMA Issues Proposals for Regulating Payment-related Stablecoins
Feb 3, 2022
On 12 January 2022, the HKMA published a Discussion Paper on Crypto-assets and Stablecoins seeking views on proposals to regulate various activities in payment-related stablecoins
HKEX’s New Listing Regime for Overseas Issuers Effective 1 January 2022
Jan 19, 2022
Revised HKEX Listing Rules took effect on 1 January 2022 simplifying the listing regime for companies incorporated outside Hong Kong and the PRC and extending opportunities for Chinese homecoming listings.
HKEX Corporate Governance Code and Listing Rule Changes Effective 1 Jan 2022
Jan 7, 2022
Corporate Governance Code and related Listing Rule amendments took effect on 1 January 2022, while a requirement to appoint a new INED if issuers’ INEDs have all served 9 years takes effect on 1 January 2023.