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SFC To Step Up Oversight Of Corporate Conduct

SFC To Step Up Oversight Of Corporate Conduct

by | Dec 23, 2013 | Hong Kong Law

Download the Word Introduction 1. PME Group Director Acquitted of Making False or Misleading Announcements 2. Court Orders Insider Dealers to Compensate Investors under section 213 Securities and Futures Ordinance (SFO) 3. SFC Commences section 213 Proceedings against...
Hong Kong Stock Exchange Publishes Guidance Letter on Suitability for Listing and Listing Decision on the Suitability for Listing of Applicants Which Had Conducted Business in Countries Subject to Sanctions

Hong Kong Stock Exchange Publishes Guidance Letter on Suitability for Listing and Listing Decision on the Suitability for Listing of Applicants Which Had Conducted Business in Countries Subject to Sanctions

by | Dec 18, 2013 | Hong Kong Law

Download the Word Introduction Hong Kong Stock Exchange Publishes Guidance Letter on Suitability for Listing Hong Kong Stock Exchange Publishes Listing Decision (LD76-2013) in relation to whether the Applicants were Suitable for Listing under Rule 8.04 given that they...
SFC Publishes FAQ on the New Sponsor Regime

SFC Publishes FAQ on the New Sponsor Regime

by | Oct 18, 2013 | Hong Kong Law

Download the Word Relevant Requirements The FAQs On 8 October 2013, the Securities and Futures Commission (SFC) published Frequently Asked Questions (the FAQs) (see archive) on the new regime on the regulation of sponsors under the SFC’s new paragraph...