by teddyromulo | Oct 30, 2020 | Hong Kong Law
Download the PDF Download the Word On 22 October 2020, it was announced that Hong Kong’s Securities and Futures Commission (SFC) had reprimanded and fined Goldman Sachs (Asia) US$350 million (HK$2.71 billion) for serious regulatory failures that led to the...
by teddyromulo | Oct 20, 2020 | Hong Kong Law
Download the PDF Download the Word On 28 August 2020, the Stock Exchange of Hong Kong (HKEx) published the Consultation Conclusions on Codification of General Waivers and Principles Relating to IPOs and Listed Issuers and Minor Rule Amendments (the...
by teddyromulo | Oct 14, 2020 | Hong Kong Law
Download the PDF Download the Word On 18 September 2020, the Securities and Futures Commission (SFC) published a Consultation Paper[1] on proposals to amend its Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (for Licensed...
by teddyromulo | Sep 22, 2020 | Hong Kong Law
Download the PDF Download the Word Changes to Hong Kong’s private open-ended fund companies (OFCs) regime took effect on 11 September 2020 removing all investment restrictions on private OFCs and enabling Type 1 licensees to act as their custodians. The changes are...
by teddyromulo | Sep 11, 2020 | Hong Kong Law
Download the PDF Download the Word The Hong Kong Stock Exchange (HKEx) is consulting on amendments to the HKEx Listing Rules to increase its disciplinary and sanctioning powers under Chapter 2A of the Main Board Listing Rules and Chapter 3 of the GEM Listing Rules....
by teddyromulo | Sep 1, 2020 | Hong Kong Law
Download the PDF Download the Word Amendments to The Rules governing the listing of Securities on the Hong Kong Stock Exchange (“The Listing Rules”) for debt issues only to professional investors will take effect on 1 November 2020 revising the requirements under...
