Hong Kong Law Archives - Page 59 of 117

SFC and HKEX Impose New Requirements for Listing Applicants, Sponsors, Underwriters and Placing Agents of GEM IPOs

by cladmin | Feb 2, 2017 | Hong Kong Law

Download the PDF Download the Word Introduction On 20 January 2017, the Securities and Futures Commission (the SFC) and The Stock Exchange of Hong Kong Limited (HKEX or the Exchange), issued a joint statement regarding the price volatility of GEM...

Hong Kong is World’s Top IPO Fundraising Market in 2016 while Listed Debt Turnover Rises 126 percent on 2015

by cladmin | Jan 26, 2017 | Hong Kong Law

SFC Issues New Guidance on Licensed Intermediaries’ Suitability Obligations

by cladmin | Jan 23, 2017 | Hong Kong Law

New SFC Measures to Increase the Accountability of Licensed Corporations’ Senior Management

by cladmin | Jan 13, 2017 | Hong Kong Law

SFC Consults on Proposals to Tighten Regulation of Fund Managers and Point-of-sale Disclosure

by cladmin | Dec 30, 2016 | Hong Kong Law

Download the PDF Download the Word Introduction The Securities and Futures Commission (SFC) is consulting on proposals to tighten regulation of Hong Kong’s asset management industry as set out in its November 2016 Consultation Paper (the Consultation Paper). The...

HKEX Issues Guidance on “Ownership and Control” Requirement for Listing Applicants and Issues Relevant to Controlling Shareholders (HKEx-GL89-16)

by cladmin | Dec 22, 2016 | Hong Kong Law

Download the PDF Download the Word Introduction The Hong Kong Stock Exchange (HKEx) published new Guidance Letter HKEx-GL89-16 (archive) (the Guidance Letter) in November 2016 providing guidance on issues related to “controlling shareholders” and...