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Hauzen LLP

Market Misconduct Tribunal sanctions two former executives for insider dealing
Market Misconduct Tribunal sanctions two former executives for insider dealing 1402 790 Hauzen LLP
In April 2021, following legal proceedings brought by the SFC, the MMT sanctioned two former executives of Asia Telemedia Limited (now known as Yunfeng Financial Group Limited) – Mr Charles Yiu Hoi Ying and Ms Marian Wong Nam.
Financial Services Regulation

HKEx’s disciplinary action against China Tangshang Holdings Limited and its executive directors
HKEx’s disciplinary action against China Tangshang Holdings Limited and its executive directors 1920 1080 Hauzen LLP
On 14 April 2021, The Listing Committee of the HKEx took disciplinary action against China Tangshang Holdings Limited and its executive directors.

SFC Press Release – Investigation Updates
SFC Press Release – Investigation Updates 1400 788 Hauzen LLP
SFC and Police launched joint operation against listed company and senior executives for market misconduct, and revoke revokes IDS Forex HK Limited’s licence and permanently bans its former co-CEOs from re-entering the industry.

HKEx Publishes Consultation Paper on Review of Corporate Governance Code and Related Listing Rules
HKEx Publishes Consultation Paper on Review of Corporate Governance Code and Related Listing Rules 1400 788 Hauzen LLP
On 16 April 2021, HKEx published a consultation paper outlining proposed enhancements to the CG Code, as well as related amendments to the Listing Rules.

The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme
The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme 1401 789 Hauzen LLP
The Financial Secretary the Paul Chan delivered his 2021-22 budget speech on 24 February 2021 proposing to launch a two-year pilot insurance-linked securities grant scheme to attract insurance enterprises or organisations to issue insurance-linked securities in Hong Kong.

FSTB Consultation paper on new licensing regime for virtual assets services providers
FSTB Consultation paper on new licensing regime for virtual assets services providers 1400 935 Hauzen LLP
FSTB published consultation paper proposeing to introduce a licensing regime for virtual assets services providers (“VASPs”).  The consultation period ended on 31 January 2021.
Financial Services Regulation

Legislative Council Panel on Financial Affairs discussed the Protection of Personal Information on the Companies Register
Legislative Council Panel on Financial Affairs discussed the Protection of Personal Information on the Companies Register 1920 1080 Hauzen LLP
On 9 April 2021, the Legislative Council Panel on Financial Affairs discussed the proposed implementation of a new inspection regime for the Companies Register.

HKEx Published Consultation Paper on Listing Regime for Overseas Issuers
HKEx Published Consultation Paper on Listing Regime for Overseas Issuers 1400 788 Hauzen LLP
On 31 March 2021, HKEx published a consultation paper (the “Consultation”) seeking comments on proposed amendments to the Listing Rules in order to enhance and streamline the listing regime for overseas issuers. 

Consultation Conclusions on Proposed Amendments to the Code on Real Estate Investment Trusts
Consultation Conclusions on Proposed Amendments to the Code on Real Estate Investment Trusts 1401 789 Hauzen LLP

On 9 June 2020, the Securities and Futures Commission (the “SFC”) issued a Consultation Paper on the Proposed Amendments to the Code on Real Estate Investment Trusts (the “REITs”) (the…

SFC’s Consultation Paper on proposal to amend its Anti-Money Laundering and Counter-Financing of Terrorism Guidelines
SFC’s Consultation Paper on proposal to amend its Anti-Money Laundering and Counter-Financing of Terrorism Guidelines 1400 788 Hauzen LLP
The SFC published a consultation paper on proposed amendments to (1) the Guideline on AML/CFT (For Licensed Corporations) and (2) the Prevention of Money Laundering and Terrorist Financing Guideline issued by the SFC for Associated Entities
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