SFC and HKEx Disciplinary Actions in April 2022
The Hong Kong regulatory enforcement actions concluded in April 2022 included the Takeovers Executive’s public...
Newsletters Archive:
ETFs to be included in Hong Kong-China Stock Connect
The CSRC and SFC announced plans to allow eligible exchange-traded funds (ETFs) by Mainland and...
HKEx Listing Rule Amendments reflect New SFC Code of Conduct Provisions for Issuers and Intermediaries involved in Bookbuilding and Placing Activities
HKEx published an information paper on listing rule amendments complementing new SFC Code of Conduct...
SFC Releases End-To-End Test Packages and File Transfer Connectivity Guide for the Hong Kong Investor Identification Regime
SFC releases the end-to-end test packages and file transfer connectivity guide for the Hong Kong...
HKEx and SFC Disciplinary Actions in March 2022
In March 2022, the HKEx announced the results of a disciplinary action against former directors...
First SPAC Lists on HKEX under New SPAC Listing Regime
The HKEX listed the first special purpose acquisition company (SPAC) on its Main Board on...
U.S. President Issues Executive Order on Digital Asset Regulation
On 9 March 2022, U.S. President Joseph R Biden Jr issued an Executive Order on...
Recent HKEx and SFC Disciplinary Actions
Recent HKEx and SFC Disciplinary Actions in February including censures, imposing a prejudice to investors’...
SFC Enforcement Actions in January and February 2022
The SFC and HKEX brought a number of disciplinary actions against SFC-licensed intermediaries for regulatory...
HKEX update on timing relief for HKEX listed issuers for the publication of 2021 preliminary financial results
The HKEX published an updated FAQ on the SFC and HKEX joint statement issued on...