Oct 31, 2022
The HKEx, SFC and HKMA Disciplinary Actions in September 2022 involved suspensions for breaching the SFC Code of Conduct, fines for contravening the AMLO, and imposing a director unsuitability statement
Oct 27, 2022
The HKMA published its Quarterly Bulletin issue 112 which looks at encouraging Regtech under its Fintech 2025 strategy and highlights the importance of technology in improving AML/CFT controls
Oct 24, 2022
The SFC obtained a court order for the chairman and executive director of Sound Global to purchase the shares held by other shareholders at a price to be determined by the court under Section 214 of the SFO.
Oct 23, 2022
The HKEX has issued a consultation paper on a new listing regime for Specialist Technology Companies on the Main Board of the HKEX soliciting market feedback on its proposed amendments to the HKEX Listing Rules
Oct 18, 2022
HKMA released a position paper entitled “e-HKD: Charting the Next Steps” outlining its next steps on the direction of the e-HKD and its policy stance on a retail Central Bank Digital Currency
Oct 17, 2022
The SFC has published Takeovers Bulletin No. 62 covering recent decisions on the grant of a special waiver from the mandatory general offer obligation and the applicable offer price in case of a special deal under Rule 25
SFC circular to licensed corporations on review of online brokerage, distribution and advisory services in Hong Kong
Oct 10, 2022
The SFC has reported on its review of licensed corporations’ provision of online brokerage, distribution and advisory services and their compliance with Hong Kong’s regulatory requirements
Sep 19, 2022
HKEx, SFC & HKMA Disciplinary Actions in August 2022 included censuring and imposing a prejudice to investors’ interests statement against two former directors of Ping An Securities Group, and fining Commerzbank
Sep 8, 2022
SFC welcomes Central Government support and the three initiatives announced by the CSRC to broaden Stock Connect and further enhance Hong Kong’s position as an offshore RMB centre and a risk management centre
Sep 7, 2022
Hong Kong’s proposed foreign source income exemption regime for passive income in response to the EU’s concerns about Hong Kong’s foreign-source income exemption regime expected to take effect on 1 January 2023.
Swap Connect Development Jointly Announced by People’s Bank of China, Hong Kong Securities and Futures Commission, and Hong Kong Monetary Authority
Sep 5, 2022
Swap Connect Development is Jointly Announced by the PBOC, SFC, and HKMA; and is to be launched in January 2023 after completing preparations, finalising relevant rules, and obtaining regulatory approvals.
Aug 19, 2022
The HKEx Listing Newsletter discusses global sustainability reporting standards on climate disclosures, the relevance of low-carbon transition of Hong Kong SPACs, and recent HKEx listing developments.