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Hauzen LLP

SFC consults on conduct requirements for bookbuilding and placing activities
SFC consults on conduct requirements for bookbuilding and placing activities 1402 790 Hauzen LLP
On 8 February 2021, the Securities and Futures Commission published a consultation paper on conduct requirements for capital market transactions in Hong Kong.
Financial Services Regulation

HKEx publishes Guidance Letter on Pre-vetting for placing to connected clients in an IPO
HKEx publishes Guidance Letter on Pre-vetting for placing to connected clients in an IPO 1920 1080 Hauzen LLP
In March 2021, HKEx published a Guidance Letter on pre-vetting for placings to connected clients in IPO

Consultation Paper on Outcome Related Fee Structures for Arbitration
Consultation Paper on Outcome Related Fee Structures for Arbitration 1400 788 Hauzen LLP
The consultation period for the Outcome Related Fee Structures for Arbitration Sub-committee of the Law Reform Commission’s consultation paper on Outcome Related Fee Structures for Arbitration recently came to an end, on 16 March 2021.
Financial Services Regulation

HKEx Publishes Listing Committee Report 2020
HKEx Publishes Listing Committee Report 2020 1920 1080 Hauzen LLP
In March 2021, HKEx published its Listing Committee Report for 2020, which includes a review of the committee’s work during the year and an overview of its policy agenda for 2021 and beyond.

SFC’s Consultation Paper on amendments to the Code on Pooled Retirement Funds
SFC’s Consultation Paper on amendments to the Code on Pooled Retirement Funds 150 150 Hauzen LLP
The comment period of the Securities and Future Commission’s (“SFC”) public consultation paper (the “Consultation”) on proposed amendments to the Code on Pooled Retirement Funds (the “Code”) has recently come to an end.

SFC consults on the Management and Disclosure of Climate-related Risks by Fund Managers
SFC consults on the Management and Disclosure of Climate-related Risks by Fund Managers 1400 788 Hauzen LLP
In October 2020, the SFC published a consultation paper on the Management and Disclosure of Climate-related Risks by Fund Managers proposing to amend the Fund Manager Code of Conduct.
Financial Services Regulation

SFC’s Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners
SFC’s Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners 1920 1080 Hauzen LLP
In December 2020, the SFC published a Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners.
Financial Services Regulation

SFC, HKEx Directed to Explore SPAC Listings in Hong Kong
SFC, HKEx Directed to Explore SPAC Listings in Hong Kong 1920 1080 Hauzen LLP
March 2021, SFC and HKEx briefed a forum of top financial leaders in Hong Kong about the latest developments in Special Purpose Acquisition Companies (SPACs)

SFC, HKMA and AMCM sign MOU on Cross-Boundary Wealth Management Connect
SFC, HKMA and AMCM sign MOU on Cross-Boundary Wealth Management Connect 1400 788 Hauzen LLP
On 5 February 2021, the Securities and Futures Commission (“SFC”), the Hong Kong Monetary Authority (“HKMA”) and the Monetary Authority of Macao (“AMCM”) entered into a Memorandum of Understanding (“MOU”) in relation to the launch of the Cross-boundary Wealth Management Connect Pilot Scheme (“Scheme”) in the Guangdong-Hong Kong-Macao Greater Bay Area with Mainland authorities such as People’s Bank of China, China Banking and Insurance Regulatory Commission, China Securities Regulatory Commission and the State Administration of Foreign Exchange.
Financial Services Regulation

HKEx Updates Guidance Letter for Biotech Companies
HKEx Updates Guidance Letter for Biotech Companies 1920 1080 Hauzen LLP
February 2021, HKEx updated its guidance letter related to disclosure in listing documents of biotech companies.
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