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SFC and HKEx Listing Committee Recent Enforcement News

Hong Kong Law

March 2020

Award winning Hong Kong law firm

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Charltons - Hong Kong Law - 475 - 04 March 2020

SFC and HKEx Listing Committee Recent Enforcement News

Listing Committee Criticises a Number of Current and Former Directors of Asia Resources Holdings Limited for Breach of the Listing Rules

Conduct of the Directors

Disciplinary Action

SFC Lifts Suspension of UBS to Act as Sponsor

Sponsor Failings in relation to China Forestry’s IPO

Sponsor Failings in relation to Tianhe’s IPO

UBS Licence Suspension Lifted

SFC Publicly Censures Entities and Individuals for Breach of the Code on Share Buy-backs

Conduct of the Individuals and Entities Involved
SFC Comments on the Share Buy-backs
SFC Reminder to Practitioners and Parties