Listed Companies Governance

HKCGI’s Guidance Note on Securities Law and Regulation

HKCGI’s Guidance Note on Securities Law and Regulation 1920 1080 Emma
On 5 September 2021, the Hong Kong Chartered Governance Institute issued a guidance note on securities law and regulation.

HKEx’s disciplinary action against Coolpad Group Limited and six former directors

HKEx’s disciplinary action against Coolpad Group Limited and six former directors 1402 790 Emma
On 24 August 2021, The Stock Exchange of Hong Kong Limited censured Coolpad Group Limited (Stock Code: 2369) and six former directors.

HKCGI’s Guidance Note on Mergers and Acquisitions

HKCGI’s Guidance Note on Mergers and Acquisitions 1920 1080 Emma
On 26 May 2021, the Hong Kong Chartered Governance Institute issued a guidance note on mergers and acquisitions.

HKEx’s disciplinary action against two former directors of Farnova Group Holdings Limited

HKEx’s disciplinary action against two former directors of Farnova Group Holdings Limited 1920 1080 Emma
On 19 July 2021, the GEM Listing Committee of HKEx censured two former directors of Farnova Group Holdings Limited (Stock Code: 8153).

HKEx Publishes Revised Policy Statement on Enforcement of Listing Rules & Sanctions Statement

HKEx Publishes Revised Policy Statement on Enforcement of Listing Rules & Sanctions Statement 1920 1080 Emma
HKEx published a revised Enforcement Policy Statement, a revised Enforcement Sanctions Statement, and important information about their approach to enforcement.

HKEx’s Consultation Conclusions – Review of Listing Rules Relating to Disciplinary Powers and Sanctions

HKEx’s Consultation Conclusions – Review of Listing Rules Relating to Disciplinary Powers and Sanctions 1401 788 Louise
Hong Kong Exchanges and Clearing published the conclusions of its consultation on its review of the Listing Rules relating to disciplinary powers and sanctions.

HKEx’s disciplinary action against Tech Pro Technology Development & 7 former directors

HKEx’s disciplinary action against Tech Pro Technology Development & 7 former directors 1920 1080 Emma
HKEx reiterated that directors, including INEDs, have clear duties and responsibilities to safeguard the interests and assets of a listed issuer.

HKEx Publishes Listed Issuer Regulation Newsletter

HKEx Publishes Listed Issuer Regulation Newsletter 1920 1080 Emma
Including an update on listed issuers meeting financial reporting obligations during Covid-19, guidance on lending transactions, confirmation on material loan arrangements of counterparties with connected persons when vetting notifiable transactions, and listed issuers’ spin-off activities.

Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information

Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information 1920 1080 Emma
On 12 May 2021, MMT fined China Medical & HealthCare Group Limited, formerly known as COL Capital Limited, and six of its former and current directors a total of $4.2 million for failing to disclose inside information as soon as reasonably practicable following proceedings brought by the SFC.

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 Emma
On 14 April 2021, The Listing Committee of the HKEx took disciplinary action against China Tangshang Holdings Limited and its executive directors.
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