by cladmin | Apr 28, 2016 | Hong Kong Law
Download the PDF Download the Word Background The Appeal The Securities and Futures Appeals Tribunal (SFAT or the Tribunal) has upheld a disciplinary action brought by the Securities and Futures Commission (SFC) against Moody’s Investors Service Hong Kong...
by cladmin | Apr 20, 2016 | Hong Kong Law
Download the PDF Download the Word Background Issuers’ Action Further reviews or investigations Background The Stock Exchange of Hong Kong Limited (the Exchange) has published a new guidance letter HKEx-GL87-16 for listed issuers subject to rumours...
by cladmin | Apr 20, 2016 | Hong Kong Law
Download the PDF Download the Word Inside Information Disclosure Requirements under Part XIVA of the SFO Late Disclosure of Audit Issues Failure to Disclose Significant Deterioration in Financial Performance The SFC has commenced proceedings in the Market...
by cladmin | Apr 6, 2016 | Hong Kong Law
Download the PDF Download the Word Introduction Background The Seven Principles of Responsible Ownership Applicability of the Seven Principles of Responsible Ownership Next Stage Introduction On 7 March 2016, the Securities and Futures Commission (SFC) published...
by cladmin | Mar 29, 2016 | Hong Kong Law
Download the PDF Download the Word Introduction Open-ended Fund Company Structure Securities and Futures (Amendment) Bill 2016 Proposed investment scope of OFCs Regulation of OFCs Introduction In March 2014, the Financial Services and Treasury Bureau (FSTB) conducted...
by cladmin | Mar 18, 2016 | Hong Kong Law
Download the PDF Download the Word Background Categories of Professional Investors The New Regime Individual Professional Investors Corporate Professional Investors Institutional Professional Investors Paragraph 15 of the Code Consequential amendments to the Code...
