Knowledge Archives - Page 8 of 8

Hauzen LLP
15/01/2021

What Constitutes Insider Dealing?

What Constitutes Insider Dealing? https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 15/01/2021 21/01/2021

Insider dealing is defined under the SFO to arise under the three circumstances and under each circumstance, inside information may originate from two kinds of sources: someone connected with a corporation or someone involved with a proposed take-over offer for a corporation.

Hauzen LLP
15/01/2021

Structure & Definitions of the Insider Dealing Provisions in SFO

Structure & Definitions of the Insider Dealing Provisions in SFO https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 15/01/2021 20/01/2021

As with the provisions governing other forms of market misconduct, insider dealing is categorised into the civil regime and the criminal regime.

Hauzen LLP
15/01/2021

Insider Dealing

Insider Dealing https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 15/01/2021 15/01/2021

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.

Hauzen LLP
15/01/2021

Market Manipulation

Market Manipulation https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 15/01/2021 15/01/2021

Scrutiny of issues relating to manipulation of the securities market is provided and offences which traditionally fall under this umbrella.

Hauzen LLP
15/01/2021

Market Misconduct Regulations in Hong Kong

Market Misconduct Regulations in Hong Kong https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 15/01/2021 15/01/2021

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.

Hauzen LLP
12/01/2021

Crowd-funding Activities

Crowd-funding Activities https://hauzen.hk/wp-content/uploads/2020/09/hong-kong-mountains-hugo-d-0Xxu3Jqd334-unsplash_1401x787sm.jpg 1401 787 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 12/01/2021 15/01/2021

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.

Hauzen LLP
12/01/2021

The Regulation of Crowd-funding in Hong Kong

The Regulation of Crowd-funding in Hong Kong https://hauzen.hk/wp-content/uploads/2020/09/hong-kong-mountains-hugo-d-0Xxu3Jqd334-unsplash_1401x787sm.jpg 1401 787 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 12/01/2021 15/01/2021

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.

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