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Hauzen LLP

Structure & Definitions of the Insider Dealing Provisions in SFO
Structure & Definitions of the Insider Dealing Provisions in SFO 1400 788 Hauzen LLP
As with the provisions governing other forms of market misconduct, insider dealing is categorised into the civil regime and the criminal regime.

Insider Dealing
Insider Dealing 1400 788 Hauzen LLP
Illicit trades are considered in detail, documenting the history of the situation in Hong Kong and the current regime. Relevant legislation is considered, along with possible sanctions and penalties.

Market Manipulation
Market Manipulation 1400 788 Hauzen LLP
Scrutiny of issues relating to manipulation of the securities market is provided and offences which traditionally fall under this umbrella.

Market Misconduct Regulations in Hong Kong
Market Misconduct Regulations in Hong Kong 1400 788 Hauzen LLP
Insight into the Securities and Futures Ordinance (Cap 571) (SFO) and its ‘dual’ approach to breaches, which can see both civil cases and criminal charges being brought.

Crowd-funding Activities
Crowd-funding Activities 1401 787 Hauzen LLP
Information on four common types of crowd funding which can be grouped into two main categories: (i) Community Crowd-funding; and (ii) Financial Return Crowd-funding.

The Regulation of Crowd-funding in Hong Kong
The Regulation of Crowd-funding in Hong Kong 1401 787 Hauzen LLP
Unlike other commonwealth jurisdictions such as the UK and New Zealand, Hong Kong has yet to introduce regulations which specifically address the control or facilitation of crowd-funding activities.

The Wire China: China’s Global Treasure Map
The Wire China: China’s Global Treasure Map 2048 1536 Hauzen LLP
Basil Hwang quoted in The Wire China’s article on Chinese tycoons hunting around the world for the best places to stash their spoils.

Bloomberg: Hong Kong Sanctions Could Threaten Banks
Bloomberg: Hong Kong Sanctions Could Threaten Banks 1288 682 Hauzen LLP

Josephine Chung, director and founder of CompliancePlus Consulting, discusses how western banks are walking a tight rope when it comes to their operations and obligations in Hong Kong. She speaks…

SFC Warns Private Equity Firms on Hong Kong Licensing
SFC Warns Private Equity Firms on Hong Kong Licensing 1400 788 Hauzen LLP

It has been nearly two decades since commencement of the current Securities and Futures Commission (SFC) licensing regime. The relevant legislation, the Securities and Futures Ordinance, originally specified nine types…

HKEx Consultation Conclusion: Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments
HKEx Consultation Conclusion: Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments 1400 788 Hauzen LLP

In recent years, the popularity of backdoor listings has resulted in a substantial increase in the value of a company solely for its listing status, leading to extensive activities related…

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