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SFC and HKEx Disciplinary Actions in April 2022

SFC and HKEx Disciplinary Actions in April 2022

by Alexandr Pirogov | Jun 23, 2022 | Hong Kong Law

Download the PDF Download the Word The Hong Kong regulatory enforcement actions concluded in April 2022 included the Takeovers Executive’s public criticism of two former directors for breach of the SFC Takeovers Code’s no frustrating actions rule. In a separate...
ETFs to be included in Hong Kong-China Stock Connect

ETFs to be included in Hong Kong-China Stock Connect

by Alexandr Pirogov | Jun 10, 2022 | Hong Kong Law

Download the PDF Download the Word On 27 May 2022, the Securities and Futures Commission of Hong Kong (the SFC) and the China Securities Regulatory Commission (the CSRC) published a joint announcement with details for implementing plans to include...
HKEx Listing Rule Amendments reflect New SFC Code of Conduct Provisions for Issuers and Intermediaries involved in Bookbuilding and Placing Activities

HKEx Listing Rule Amendments reflect New SFC Code of Conduct Provisions for Issuers and Intermediaries involved in Bookbuilding and Placing Activities

by Alexandr Pirogov | May 3, 2022 | Hong Kong Law

Download the PDF Download the Word On 22 April 2022, the Stock Exchange of Hong Kong (HKEx) published an Information Paper (Information Paper) outlining the amendments to the Main Board and GEM Listing Rules (together, the HKEx Listing Rules) being...
SFC Releases End-To-End Test Packages and File Transfer Connectivity Guide for the Hong Kong Investor Identification Regime

SFC Releases End-To-End Test Packages and File Transfer Connectivity Guide for the Hong Kong Investor Identification Regime

by Alexandr Pirogov | Apr 28, 2022 | Hong Kong Law

Download the PDF Download the Word On 31 March 2022, the Securities and Futures Commission of Hong Kong (SFC) issued a circular regarding the mandatory end-to-end (E2E) test for systems for the Hong Kong Investor Identification Regime (HKIDR). The circular...
HKEx and SFC Disciplinary Actions in March 2022

HKEx and SFC Disciplinary Actions in March 2022

by Alexandr Pirogov | Apr 21, 2022 | Hong Kong Law

Download the PDF Download the Word In March 2022, the Stock Exchange of Hong Kong Limited (the HKEx) announced the results of its disciplinary action against former directors of a Chapter 21-listed investment company for misuse of the company’s funds, while the...
First SPAC Lists on HKEX under New SPAC Listing Regime

First SPAC Lists on HKEX under New SPAC Listing Regime

by Alexandr Pirogov | Apr 1, 2022 | Hong Kong Law

Download the PDF Download the Word The Hong Kong Stock Exchange (HKEX) listed the first special purpose acquisition company (SPAC) on its Main Board on 18 March 2022 following its introduction of a listing regime for SPACs on 1 January 2022. For details of the HKEX...
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