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Hauzen LLP

Financial Services Regulation

HKEx Conclusions on Paperless Listing & Subscription Regime, Online Display of Documents, Reduction of Types of Documents on Display
HKEx Conclusions on Paperless Listing & Subscription Regime, Online Display of Documents, Reduction of Types of Documents on Display 1920 1080 Hauzen LLP
HKEx will adopt all the proposals outlined in the consultation paper with several minor modifications as set out in the Consultation Conclusions.

SFC and FRC conclude MOU to strengthen regulation of capital markets
SFC and FRC conclude MOU to strengthen regulation of capital markets 1402 790 Hauzen LLP
SFC and FRC entered into new MOU for enhanced cooperation measures for regulation of PIE Auditors and the compliance by listed entities of regulatory requirements in financial reporting

The HKMA publishes AML/CFT Regtech: Case Studies and Insights
The HKMA publishes AML/CFT Regtech: Case Studies and Insights 1400 786 Hauzen LLP
January 2021, the Hong Kong Monetary Authority published a report highlighting the opportunities that Regulatory Technology offers.
Financial Services Regulation

HKEx Publishes its Latest Review of Listed Issuers’ Corporate Governance Practices
HKEx Publishes its Latest Review of Listed Issuers’ Corporate Governance Practices 1920 1080 Hauzen LLP
December 2020, The Stock Exchange of Hong Kong Limited (HKEx) published the findings of its latest review of listed issuers’ corporate governance practices.

SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules
SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules 1402 790 Hauzen LLP
May 2018, the SFC published the Consultation Conclusions on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules.

2021-22 Budget Speech – Update on Open-ended Fund Companies and Limited Partnership Funds
2021-22 Budget Speech – Update on Open-ended Fund Companies and Limited Partnership Funds 1400 789 Hauzen LLP
The Financial Secretary announced legislative proposal to allow foreign investment funds to re-domicile to Hong Kong for registration as OFCs or LPFs and planned incentives in the form of subsidies for OFCs set or re-domiciled to Hong Kong.
Financial Services Regulation

HKEx Publishes Review of Listed Issuers’ Annual Report Disclosure – COVID-19 and Other Issues
HKEx Publishes Review of Listed Issuers’ Annual Report Disclosure – COVID-19 and Other Issues 1920 1080 Hauzen LLP
January 2021, The Stock Exchange of Hong Kong Limited (HKEx) published a report on the findings and recommendations from a review of listed issuers’ annual reports issued for 2019

Hong Kong & Mainland China Sign Supplemental Arrangement for Mutual Enforcement of Arbitral Awards
Hong Kong & Mainland China Sign Supplemental Arrangement for Mutual Enforcement of Arbitral Awards 1400 788 Hauzen LLP
November 2020, Hong Kong and Mainland China signed the Supplemental Arrangement Concerning Mutual Enforcement of Arbitral Awards to make several amendments

SFC published FAQ Guidance on Use of External Electronic Data Storage by Licensed Corporations
SFC published FAQ Guidance on Use of External Electronic Data Storage by Licensed Corporations 1400 787 Hauzen LLP
SFC published Frequently Asked Questions December 2020 providing guidance to licensed corporations on the use of external electronic data storage.
Financial Services Regulation

SFC’s Consultation on Investor Identification & Over-the-counter Securities Transactions Reporting Regimes
SFC’s Consultation on Investor Identification & Over-the-counter Securities Transactions Reporting Regimes 1920 1080 Hauzen LLP
The deadline for the consultation period is fast approaching and currently set to be 4 March 2021. Learn more about the proposed regimes here.
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