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2021

May 2021Response to the SFC Consultation Paper on (i) the Proposed Code of Conduct on Bookbuilding and Placing Activities in Equity Capital Market and Debt Capital Market Transactions and (ii) the “Sponsor Coupling” Proposal
Jan 2021Response to the HKEX Consultation Paper on the Main Board Profit Requirement

2019

Dec 2019Secondary Listing Innovative Chinese Companies on HKEx

2018

May 2018Consultation Conclusions on WVR Listings and Concessionary Route to Secondary Listing
May 2018New Rules Listing Biotech Companies on the Hong Kong Stock Exchange

2017

Jun 2017Chapter 21 listings
Mar 2017Initial public offering – Listing on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited

2016

Jun 2016Introduction to listing of publicly offered debt securities in Hong Kong
Mar 2016Listing Russian companies in Hong Kong
Feb 2016Initial public offering – Listing on the Stock Exchange of Hong Kong Limited

2015

Aug 2015Listing mainland companies in Hong Kong
Apr 2015Russian companies listing on the Hong Kong Stock Exchange
Mar 2015Detailed analysis of listing mineral companies on the Hong Kong Stock Exchange
Feb 2015Listing international companies in Hong Kong – 2015 update
Feb 2015Listing international companies on the Hong Kong Stock Exchange: 2015 Update
Feb 2015Doing business in China and the Hong Kong SAR: Key issues for Russian companies to consider

2014

Dec 2014Listing overseas companies on the Stock Exchange of Hong Kong Limited
Dec 2014Listing mineral companies in Hong Kong
Dec 2014A Hong Kong corporate finance law firm
Nov 2014Breakfast round table brief: Hong Kong Stock Exchange’s weighted voting rights concept paper
Oct 2014Pre-IPO investments
Oct 2014Listing PRC companies in Hong Kong using VIE structures
Sep 2014Spin-off of wholly owned subsidiary of a Hong Kong listed company
Sep 2014Hong Kong Stock Exchange publishes concept paper on weighted voting rights
Sep 2014Listing PRC companies in Hong Kong
Sep 2014Requirements for an offering and listing in the U.K., U.S. or Hong Kong
Jul 2014Introduction to listing on the Main Board of the Hong Kong Stock Exchange
Jul 2014Potential liabilities under Hong Kong Law in connection with the publication of a prospectus on the listing of a company on the Stock Exchange of Hong Kong
Jun 2014Listing on the GEM of the Hong Kong Stock Exchange
Jun 2014Comparison of GEM and second board of Singapore on listing, transfer and spin-off requirements
Jun 2014Listing PRC companies on the Hong Kong Stock Exchange
Feb 2014Introduction to the listing of H shares of PRC companies on the Stock Exchange of Hong Kong Limited (the “Main Board”)

2013

Dec 2013The 10 most important things to know about listing a mineral company on The Stock Exchange of Hong Kong Limited (“HKEx”)
Nov 2013The regulatory regime for IPO sponsors in Hong Kong
Jul 2013Listing in Hong Kong by way of HDRs

2012

Nov 2012China laws and regulations for PRC companies seeking a listing on HKEx

2007

Nov 2007Introduction to the listing of H shares of PRC Companies on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited (“the GEM”)

2006

Aug 2006HKEx publishes research on overseas experience of growth company markets
Aug 2006HKEx publishes research on the development and operation of the Growth Enterprise Market
Aug 2006HKEx publishes research on the Singapore dimension of HKEx’s markets
Aug 2006HKEx publishes research on the Taiwan dimension of HKEx’s markets
Jan 2006The route to AIM
Jan 2006Comments on the Stock Exchange’s discussion paper on the Growth Enterprise Market

2005

Sep 2005Summary of requirements for listing closed-ended funds

2004

Oct 2004Introduction to listing on AIM UK

2003

Mar 2003Introduction to the listing of PRC Companies on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited

2002

Aug 2002Brief introduction to the consultation paper on proposed amendments to the Listing Rules relating to initial listing eligibility and cancellation of listing procedures
Feb 2002Listing on the Hong Kong Stock Exchange – document list

2000

Aug 2000The Securities and Futures Bill
Jun 2000Key summary points on the consultation paper on proposed amendments to the Hong Kong Listing Rules relating to initial listing eligibility and cancellation of listing procedures
May 2000Responsibilities of a PRC director of a GEM listed company
May 2000Documentary requirements for a PRC GEM applicant

2020

May 2020The licensing regime in Hong Kong
May 2020Bonds issues in Hong Kong
Apr 2020Charity Governance in Hong Kong

2019

Apr 2019The Connected Transaction Rules of the Hong Kong Stock Exchange (Main Board)

2017

Oct 2017Licensing for commodities related activities
Feb 2017Listing exchange traded funds (ETFs) on the Stock Exchange of Hong Kong Limited
Feb 2017The Licensing Regime under The Securities and Futures Ordinance

2016

Jun 2016Listed company guide to inside information
May 2016Environmental social and governance reporting guide for companies listed on the HKEx
May 2016Private placement of bonds
Feb 2016Hong Kong crowd funding and the associated risks
Jan 2016Responsibilities of directors of companies listed on the Main Board of the Stock Exchange of Hong Kong Limited
Jan 2016Responsibilities of directors of companies listed on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited

2015

Jun 2015Regulation of crowd funding in Hong Kong
Jun 2015Hong Kong regulation of crowd funding
Jun 2015Mainland-Hong Kong Mutual Recognition of Funds Initiative to launch on 1 July 2015: Hong Kong distribution opportunities for China funds
May 2015Hong Kong corporate finance regulation 2014 and 2015 – IPO sponsor due diligence regime update
Apr 2015The connected transactions rules in Hong Kong
Apr 2015Hong Kong listing rules: connected transactions
Apr 2015Opportunities for Russian companies to raise debt finance in Hong Kong
Apr 2015Listing of debt securities for professional investors on The Stock Exchange of Hong Kong Limited
Jan 2015SFC’s powers to seek compensation for investors
Jan 2015Disclosure of interests under the Securities and Futures Ordinance

2014

Dec 2014A Hong Kong corporate finance law firm
Nov 2014Fund structures
Nov 2014Structuring a private equity fund to be marketed in Europe
Oct 2014Regulatory implications of offering securities to employees in Hong Kong
Oct 2014Ongoing compliance matters for a licensed corporation to carry out certain regulated activities
Jul 2014The Hong Kong Code on Takeovers and Mergers
Jul 2014The Hong Kong Code on Takeovers and Mergers
Jul 2014The Listing Rules’ requirements for reverse takeovers of Hong Kong listed companies
Jul 2014The 10 most important things to know about reverse takeovers (RTOs) of Hong Kong listed companies
Jul 2014Insider dealing under the Securities and Futures Ordinance
Jun 2014Hong Kong listing rules amendments changes to the connected transaction rules
Jun 2014Obligations of directors of the offeror under the Code on Takeovers and Mergers
Jun 2014Protected: Marketing mutual funds in Hong Kong
Jun 2014Marketing non-corporate funds in Hong Kong
Jun 2014Marketing by an overseas company of shares in Hong Kong
May 2014Market misconduct under the Securities and Futures Ordinance
Apr 2014Rights issue and open offer in Hong Kong
Apr 2014Charltons’ funds practice
Jan 2014Backdoor listing

2013

Dec 2013The statutory regime for listed companies’ disclosure of inside information
Nov 2013Annual retainer services
Aug 2013Statutory regime for the disclosure of price sensitive information – the Implications for listed companies and their directors
Jul 2013The 10 most important things to know about Hong Kong SFC licensing for commodities related activities
Jun 2013Mergers and acquisitions

2012

Dec 2012Hedge funds: the regulatory approach in Hong Kong
Nov 2012Directors‘ roles & responsibilities – dealing with dysfunctional boards/crises/emergencies

2009

Jun 2009Approvals and notifications required in relation to transfers of shares of a licensed corporation in Hong Kong

2005

Apr 2005Guidelines on analyst conflicts of interest effective 1 April 2005

2002

Aug 2002Guidance to the Securities and Futures Ordinance, Cap. 571

2000

Jul 2000The mandatory provident fund

2020

Jan 2020The establishment of operations in Hong Kong

2014

Dec 2014A Hong Kong corporate finance law firm
Sep 2014Hong Kong Stock Exchange publishes concept paper on weighted voting rights
Jul 2014Hong Kong: Investment opportunities, conducting business and the legal system
Jun 2014Key changes under the 2014 Hong Kong Companies Ordinance
Jun 2014Key changes under the Companies Ordinance (Cap. 622)
Apr 2014Private equity and venture capital practice
Mar 2014Setting up a charity in Hong Kong

2002

Oct 2002Hong Kong – the facts

2017

Jan 2017Belt and Road and Hong Kong

2016

May 2016China’s NDRC to simplify outbound investment rules

2015

Apr 2015China’s film industry
Feb 2015Doing business in China and the Hong Kong SAR: Key issues for Russian companies to consider

2014

Nov 2014How does a foreign investor set up a financial institution in the PRC?
Nov 2014Shanghai-Hong Kong Stock Connect

2012

May 2012Setting up in China

2009

Feb 2009M&A in China

2004

May 2004New measures relating to foreign investment in China’s commercial sector
May 2004Foreign Trade Law of the People’s Republic of China
May 2004Measures for the administration of foreign investment in the commercial sector
Mar 2004Mergers and acquisitions in China

2016

Oct 2016International capital raising and Myanmar’s mining sector
Jan 2016Developing sustainable strategic partnerships in Myanmar mining industry
Jan 20162015 Myanmar Mines Law

2013

Jul 2013Introduction to doing business in Myanmar
Mar 2013Advising mining companies in Myanmar
Mar 2013Advising oil and gas companies in Myanmar

2024

Mar 2024Hong Kong Trusts
Feb 2024Hong Kong Funds
Jan 2024Hong Kong Family Offices

2023

Oct 2023Hong Kong Regulation of Virtual Assets Trading Platforms
Oct 2023Insider Dealing in Hong Kong – Overview & Update 2023
Oct 2023HKEX Consultation Paper on GEM Listing Reforms
Sep 2023Regulatory Landscape for Web3 & Digital Assets – a Global & GCC Perspective
Aug 2023Regulatory Clarity in Asia’s Crypto Hubs: Hong Kong and Singapore
Aug 2023SFC Consultation on Proposed Amendments to the Codes on Takeovers and Mergers and Share Buy-Backs
Jul 2023Overview of Hong Kong VASP Licensing & SFC Consultation Conclusions on Regulatory Requirements for SFC Licensed Crypto Exchanges
Jun 2023Overview of the legal systems of Abu Dhabi, Dubai and Hong Kong
Apr 2023SFC Consults on Proposed Regulatory Requirements for Hong Kong Licensed Virtual Asset Trading Platform Operators
Mar 2023HKEX and SFC Disciplinary & Enforcement Actions between May and August 2022 – part 2
Mar 2023HKEX and SFC Disciplinary & Enforcement Actions between January and April 2022 – part 1

2022

Nov 2022Listing Asian companies on Aquis
Nov 2022Listing Opportunities on Nasdaq Dubai
Nov 20222022 Virtual Asset (Crypto) Service Providers & Dealers in Precious Metals & Stones: Hong Kong’s New Regulatory Regimes
Oct 20222022 SFC Bookbuilding Conduct Requirements – HKEX Listing Rules & Transitional Arrangements
Oct 20222022 Insider Dealing in Hong Kong – Overview & Update
Oct 2022Listing Pre-Revenue Biotech Companies
Oct 2022Listing Mineral Companies
Oct 2022Disclosure of Interests
Oct 2022Crypto licensing regime in the UAE webinar
Oct 2022Webinar 3 of Hong Kong Crypto Regulation Webinar Series 2022
Oct 2022Webinar 2 of Hong Kong Crypto Regulation Webinar Series 2022
Oct 2022Webinar 1 of Hong Kong Crypto Regulation Webinar Series 2022
May 2022Webinar on the HKEX’s New Listing Regime for Overseas Issuers
Apr 2022Webinar on the HKEX’s proposed Listing Rule changes for listed company share schemes
Mar 2022Webinar on the HKEX new listing regime for SPACs
Feb 2022What to expect from the Chinese economy in 2022
Jan 2022Webinar on STOs in Hong Kong

2021

Dec 2021Webinar on SFC Consultation Conclusion on Bookbuilding and Placing Activities and Sponsor Coupling
Oct 2021Webinar on HKEX Consultation Paper on SPACs
Sep 2021Julia Charlton on Introduction to Hong Kong’s role in the Greater Bay Area
Sep 2021HKEX Listing Rule Changes on Disciplinary Powers and Sanctions
Jul 2021Cryptocurrency Funds and Virtual Assets in Hong Kong and Cayman
Jul 2021Webinar on China’s Greater Bay Area: Exploring Key Sectors for Direct Investment and M&A
Jul 2021COVID-19 Vaccination. What are you waiting for? | Presentation by Dr James H B Kong
May 2021Panel on Fundraising landscape for tech companies Hong Kong from series A to IPO — hot industries, perspectives
May 2021Panel on Service provider insights – legal system, tax regime, immigration opportunities for rising talents and entrepreneur
May 2021Webinar on HKEX Consultation Paper on the Listing Regime for Overseas issuers
Apr 2021Webinar on SFC’s consultation on a proposed Code of Conduct for Hong Kong Bookbuilding and Placing Activities and Proposal on Sponsor Coupling
Apr 2021Webinar on HKEX Consultation Paper on The Review of Corporate Governance Code and Related Listing Rules
Apr 2021Charltons presented webinar on SFC Consultation on Proposed Code of Conduct on Bookbuilding and Placing Activities and Proposal on Sponsor Coupling
Mar 2021Webinar 3 – Financial distress and restructuring (issues for consideration for Hong Kong listed issuers) of webinar series on Insolvency, restructuring & recovery
Mar 2021Webinar on Fundamentals of funds in Cayman and Hong Kong
Mar 2021On 26 March 2021, Julia Charlton moderated a virtual roundtable on Listing in London
Mar 2021Webinar 2 – Restructuring options of webinar series on Insolvency, restructuring & recovery
Mar 2021Webinar 1 – Financial distress: identification, liabilities and relief of webinar series on Insolvency, restructuring & recovery
Feb 2021On 26 February 2021, Charltons presented Webinar 7 of Charltons Online Crypto Regulation Forum
Feb 2021On 19 February 2021, Charltons presented Webinar 6 of Charltons Online Crypto Regulation Forum
Feb 2021On 5 February 2021, Charltons presented Webinar 5 of Charltons Online Crypto Regulation Forum
Feb 2021BritCham HK’s webinar on the Role of outside advisers
Jan 2021On 29 January 2021, Charltons presented Webinar 4 of Charltons Online Crypto Regulation Forum
Jan 2021Webinar on The HKEX profit requirement proposals – consultation on the Main Board profit requirement
Jan 2021On 22 January 2021, Charltons presented Webinar 3 of Charltons Online Crypto Regulation Forum
Jan 2021On 15 January 2021, Charltons presented Webinar 2 of Charltons Online Crypto Regulation Forum
Jan 2021On 08 January 2021, Charltons presented Webinar 1 of Charltons Online Crypto Regulation Forum

2020

Dec 2020Charltons presented webinar on The HKEX profit requirement proposals – consultation on the Main Board profit requirement
Dec 2020Webinar on HKEX’s listing biotech (3rd section) and mineral companies
Dec 2020Webinar on HKEX: Secondary Listing of “innovative” companies and listing biotech companies (1st section)
Dec 2020Julia Charlton authors chapter on “The Value of External Advisers” in the HKEX’s December 2020 publication: “Making inroads into good Corporate Governance and ESG management”
Dec 2020Webinar on HKEX – Listing WVR structured companies
Nov 2020Force majeure concept under Russian civil law and Myanmar common law
Oct 2020International Forum «Volgograd dialogue» | Hong Kong – super connector in Belt and Road Initiative
Aug 2020On 31 August 2020, Charltons presented Part V: Corporate Governance Code and the Takeovers Code of a Webinar Series on Responsibilities of HKEx-listco Directors
Aug 2020On 29 August 2020, Charltons presented Part IV: Connected transactions of a Webinar Series on Responsibilities of HKEx-listco Directors
Aug 2020On 28 August 2020, Charltons presented Part III: Notifiable transactions of a Webinar Series on Responsibilities of HKEx-listco Directors
Aug 2020On 26 August 2020, Charltons presented Part II: Disclosure requirements of listed companies and directors of a Webinar Series on Responsibilities of HKEx-listco Directors
Aug 2020On 24 August 2020, Charltons presented Part I: Directors’ duties and liability for breaching Listing Rule Obligations of a Webinar Series on Responsibilities of HKEx-listco Directors
Jul 2020Webinar on Legal Developments in Myanmar amid-COVID-19
Jul 2020Webinar on Exchange Listings of Myanmar Business: the Options
Jun 2020Webinar on Microfinance and Fintech in Myanmar amid COVID-19
May 2020CPD Seminar on Insider Dealing under the SFO
May 2020Webinar on the Impact of COVID-19 on Labour-intensive Industry in Myanmar

2019

Dec 2019Secondary Listing Innovative Chinese Companies on HKEx
Jan 2019Hong Kong’s Progress towards a Paperless Securities Market

2017

Jun 2017Chapter 21 listings
Jan 2017Belt and Road and Hong Kong

2016

Nov 2016Presentation on Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect Update: A New Chapter in Connecting International and Chinese Investors
Nov 2016Speech on Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect Update
Feb 2016Hong Kong crowd funding and the associated risks
Jan 2016Developing sustainable strategic partnerships in Myanmar mining industry
Jan 2016Overview of responsibilities of directors of companies listed on the Main Board of The Stock Exchange of Hong Kong Limited
Jan 2016Overview of responsibilities of directors of companies listed on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited

2015

Aug 2015Listing mainland companies in Hong Kong
Jun 2015Financial Services Development Council publications on potential improvements to Hong Kong’s financial services industry regulation
Apr 2015Russian companies listing on the Hong Kong Stock Exchange
Feb 2015Listing international companies in Hong Kong – 2015 update
Feb 2015Doing business in China and the Hong Kong SAR: Key issues for Russian companies to consider
Jan 2015Hong Kong corporate finance regulation 2014 and 2015 – IPO sponsor due diligence update

2014

Nov 2014Breakfast round table brief: Hong Kong Stock Exchange’s weighted voting rights concept paper
Sep 2014Listing PRC companies in Hong Kong
Jul 2014The Hong Kong Code on Takeovers and Mergers
Jun 2014Key changes under the 2014 Hong Kong Companies Ordinance

2013

Dec 2013The statutory regime for listed companies’ disclosure of inside information
Nov 2013The regulatory regime for IPO sponsors in Hong Kong

2012

Sep 2012An update on China company and securities law

2007

Mar 2007Sponsors – the regulatory regime

2006

Nov 2006Proposals for the reform of the Companies Ordinance prospectus regime
Jun 2006Recent developments in the regulation of sponsors in Hong Kong

2005

Oct 2005The Code on Corporate Governance Practices and the corporate governance report
Sep 2005Recent developments in the regulation of Hong Kong sponsors
Sep 2005Amendments to the Codes on Takeovers and Mergers and Share Repurchases effective 1 October 2005
Jan 2005A guide for the effective board
Jan 2005Amendments to the Listing Rules: Amendments relating to sponsors and IFAs effective 1 January 2005 and amendments relating to continuing obligations effective 30 March 2004

2004

Mar 2004Mergers and acquisitions in China

2003

Dec 2003Aspects of the Securities and Futures Ordinance: disclosure of Interests, insider dealing, regulation of offers of investments, market misconduct and the stabilisation rules
Nov 2003Guidelines on corporate governance for SMEs in Hong Kong
Sep 2003Hong Kong securities law and listing rules
Sep 2003Recent developments in corporate governance in Hong Kong and the PRC
Apr 2003The establishment of operations in Hong Kong and Shenzhen
Apr 2003The establishment of operations in Shenzhen

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