by cladmin | Jun 14, 2006 | Hong Kong Law
Download the Word Introduction New Measure Summary Introduction The Securities and Futures Commission (“SFC”) has gazetted amendments to the relevant rules under the Securities and Futures Ordinance and to the Code of Conduct for Persons Licensed by or Registered with...
by cladmin | May 12, 2006 | Hong Kong Law
Download the Word Introduction A. Eligibility Criteria For Sponsors B. On-going obligations C. Compliance Advisers D. Independent Financial Advisers E. Transitional Arrangements F. Commission Inspections IntroductionNew eligibility criteria and on-going obligations...
by cladmin | Feb 7, 2006 | Hong Kong Law
Download the Word HKFE Announces Revised Margins for H-shares Index and Petrochina Futures Contracts The SFC published a press release on February 6, 2006 confirming its intention to proceed immediately with its proposal to set a securities collateral re-pledging...
by cladmin | Jan 25, 2006 | Hong Kong Law
Download the Word 1. Background 2. Overseas Growth Board Experience 3. London’s AIM 4. Structural Options 5. Key Discussion Questions 6. Consultation Hong Kong Exchanges and Clearing Limited (‘HKEx’) published its discussion paper on the Growth Enterprise Market (the...
by cladmin | Jan 18, 2006 | Hong Kong Law
Download the Word Background Two-phased Implementation Summary Announcements vs. Notifications Timetable for Implementation Use of HKEx-EPS Operational model Phase 2 The Stock Exchange of Hong Kong Limited (the “Exchange”) has published an exposure paper with regard...
by cladmin | Dec 10, 2005 | Hong Kong Law
Download the Word Introduction 1. Changes To The Liquidity Provider System 2. Facilitate Further Issues And Identical Issues 3. Banning Commission Rebates And Other Incentive Schemes 4. Publishing New Marketing Guidelines 5. Plain Language And Summaries 6. Launching...
