Posts By :

Hauzen LLP

HKEx’s Consultation Conclusions – Review of Listing Rules Relating to Disciplinary Powers and Sanctions
HKEx’s Consultation Conclusions – Review of Listing Rules Relating to Disciplinary Powers and Sanctions 1401 788 Hauzen LLP
Hong Kong Exchanges and Clearing published the conclusions of its consultation on its review of the Listing Rules relating to disciplinary powers and sanctions.

The Court of First Instance orders boiler room fraudsters to compensate investors
The Court of First Instance orders boiler room fraudsters to compensate investors 150 150 Hauzen LLP
Boiler room fraudsters ordered to compensate investors after finding that none of the investments in securities / futures products agreed were ever executed.
Financial Services Regulation

HKEx’s disciplinary action against Tech Pro Technology Development & 7 former directors
HKEx’s disciplinary action against Tech Pro Technology Development & 7 former directors 1920 1080 Hauzen LLP
HKEx reiterated that directors, including INEDs, have clear duties and responsibilities to safeguard the interests and assets of a listed issuer.

Proposed amendments to PDPO to combat doxxing activities
Proposed amendments to PDPO to combat doxxing activities 1400 787 Hauzen LLP
Proposed amendments include “A person commits an offence if the person discloses any personal data of a data subject without the data subject’s consent,”

Exemptions for senior executives of licensed corporations from compulsory quarantine arrangements
Exemptions for senior executives of licensed corporations from compulsory quarantine arrangements 1402 790 Hauzen LLP
On 28 May 2021, the SFC issued a circular regarding the grant of exemptions for senior executives of licensed corporations from the three-week compulsory quarantine arrangements in Hong Kong under Cap. 599C and Cap. 599E.
Financial Services Regulation

HKEx Publishes Listed Issuer Regulation Newsletter
HKEx Publishes Listed Issuer Regulation Newsletter 1920 1080 Hauzen LLP
Including an update on listed issuers meeting financial reporting obligations during Covid-19, guidance on lending transactions, confirmation on material loan arrangements of counterparties with connected persons when vetting notifiable transactions, and listed issuers’ spin-off activities.

The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited
The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited 1400 788 Hauzen LLP
The Securities and Futures Commission reprimanded and fined Ewarton Securities Limited for internal control failings and breaches of the SFC’s Code of Conduct.

Virtual Assets: A Regulatory Overview
Virtual Assets: A Regulatory Overview 1400 935 Hauzen LLP
A balanced regulatory approach is crucial to address risks of virtual assets on the one hand, and to minimize the compliance burden to businesses on the other.

The Show Must Go On – Signing with Electronic Signatures in Hong Kong
The Show Must Go On – Signing with Electronic Signatures in Hong Kong 1401 788 Hauzen LLP
Electronic signatures have been recognised in under Hong Kong laws as early as January 2000 with the enactment of the Electronic Transactions Ordinance (Cap. 553). This article provides a summary of the current legal framework governing electronic signatures in commercial settings and in litigation settings.
Financial Services Regulation

Joint statement on IPO-related misconduct
Joint statement on IPO-related misconduct 1920 1080 Hauzen LLP
On 20 May 2021, SFC and HKEx issued a joint statement setting out the general approach taken by them to address regulatory issues formed in recent new listings.  The statement described how the regulators would deploy their respective powers under the SFO, the SMLR and the Listing Rules to tackle issues that mainly involved suspected arrangements to artificially satisfy the initial listing requirements, or facilitate market manipulation of the shares after the IPO.
Back to top
Privacy Preferences

When you visit our website, it may store information through your browser from specific services, usually in the form of cookies. Here you can change your Privacy preferences. It is worth noting that blocking some types of cookies may impact your experience on our website and the services we are able to offer.  View our Legal Notices

For performance and security reasons we use Cloudflare
required
Click to enable/disable Google Analytics tracking code.
Click to enable/disable Google Fonts.
Click to enable/disable Google Maps.
Click to enable/disable video embeds.
Our website uses cookies, including from 3rd party services. Define your Privacy Preferences and/or agree to our use of cookies.