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SFC Bulletin gives Update on SFC’s Front-loaded Regulatory Approach

Hong Kong Law

February 2020

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Charltons - Hong Kong Law - 472 - 21 February 2020

SFC Update on its Front-loaded Regulatory Approach

SFC Regulation of HKEx Listing

Corporate Transactions HKEx Listed Issuers

SFC Supervision of Intermediaries

SFC Enforcement

SFC key policy initiatives to preserving Hong Kong market quality and good corporate conduct

SFC disciplinary actions against IPO sponsor principals

SFC enforcement actions against IPO sponsor firms

HKEx Listed Companies’ Corporate transactions

HKEx rights issues
SFC report on Thematic Review of Licensed Corporations Sponsors
HKEx nominees warehousing arrangements
HKEx corporate acquisitions
HKEx backdoor listing
Sponsor due diligence Hong Kong
Hong Kong IPO due diligence