Hong Kong Law Archives - Page 39 of 68

SFC Fines Licensed Entity HK$4.5 million for Delay in Reporting Trader’s Misconduct

Newsletter Hong Kong Law August 2015 PDF version Word version SFC Fines Licensed Entity HK$4.5 million for Delay in Reporting Trader’s Misconduct Chronology Breaches by Nomura Hong Kong SFC Disciplinary Action Implications The Hong Kong Securities and Futures...

SFC Brings First Action for Breach of Listed Companies’ Obligation to Disclose Inside Information under Part XIVA Securities and Futures Ordinance

Newsletter Hong Kong Law July 2015 PDF version Word version SFC Brings First Action for Breach of Listed Companies’ Obligation to Disclose Inside Information under Part XIVA Securities and Futures Ordinance Regulatory Background The AAL Case: the Facts Relevant...

Hong Kong Accountants’ Exemption from Restrictions on Foreign Accountants Auditing Chinese Companies Listing Offshore

Newsletter Hong Kong Law July 2015 PDF version Word version Hong Kong Accountants’ Exemption from Restrictions on Foreign Accountants Auditing Chinese Companies Listing Offshore Scope Restrictions on Overseas Audit Firms Exemption for Hong Kong Auditors Hong...

Exchange Publishes Guidance on Issue of Convertible Securities by Listed Issuers

Newsletter Hong Kong Law June 2015 PDF version Word version Exchange Publishes Guidance on Issue of Convertible Securities by Listed Issuers Relevant Listing Rules Pre-emptive rights Disclosure requirements Public float The Stock Exchange of Hong Kong Limited (the...

Mainland-Hong Kong Mutual Recognition of Funds Initiative to Launch on 1 July 2015

Newsletter Hong Kong Law June 2015 PDF version Word version Mainland-Hong Kong Mutual Recognition of Funds Initiative to Launch on 1 July 2015 INTRODUCTION QUOTAS REGULATION GENERAL PRINCIPLES AUTHORISATION OF MAINLAND FUNDS FOR HONG KONG DISTRIBUTION AUTHORISATION OF...

SFC Publishes Update on Intermediaries’ KYC and Account Opening Obligations

Newsletter Hong Kong Law May 2015 PDF version Word version SFC Publishes Update on Intermediaries’ KYC and Account Opening Obligations Certification Process Accuracy of Client Information The Hong Kong Securities and Futures Commission (SFC) has published a...

Hong Kong Listing Rule Amendments to Reflect New Financial Information Disclosure and Other Requirements

Newsletter Hong Kong Law May 2015 PDF version Word version Hong Kong Listing Rule Amendments to Reflect New Financial Information Disclosure and Other Requirements INTRODUCTION Changes relating to Financial Information Disclosure Changes not relating to Financial...

Hong Kong Stock Exchange 2015 Listing Decisions: Regulatory Breaches Impact Cash Flow Calculation and Controlling Shareholders’ Post-IPO Lock-up Explained

Newsletter Hong Kong Law May 2015 PDF version Word version Hong Kong Stock Exchange 2015 Listing Decisions: Regulatory Breaches Impact Cash Flow Calculation and Controlling Shareholders’ Post-IPO Lock-up Explained INTRODUCTION HKEx LISTING DECISION LD85-2015...

New SFC Guidance on Inside Information and Listing Document Disclosure and Appropriateness of IPO Incentive Schemes

Newsletter Hong Kong Law May 2015 PDF version Word version New SFC Guidance on Inside Information and Listing Document Disclosure and Appropriateness of IPO Incentive Schemes LISTED COMPANIES’ INSIDE INFORMATION DISCLOSURE OBLIGATION CUSTOMER IDENTITIES AND IPO...

China Adds 3 New FTZs and Introduces New National Security Review Procedures for Foreign Investments in FTZs

Newsletter Hong Kong Law May 2015 PDF version Word version China Adds 3 New FTZs and Introduces New National Security Review Procedures for Foreign Investments in FTZs New and Existing FTZs The Negative List 2015 China’s National Security Review for Foreign...