Listed Companies Governance

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

On 20 May 2021, the Hong Kong Exchanges and Clearing Limited 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 Limited and seven of its former directors

HKEx’s disciplinary action against Tech Pro Technology Development Limited and seven of its former directors 1920 1080 Emma

On 26 May 2021, the Listing Committee of HKEx censured Tech Pro Technology Development Limited (Delisted, Previous Stock Code: 3823) and seven of its former directors.

HKEx Publishes Listed Issuer Regulation Newsletter

HKEx Publishes Listed Issuer Regulation Newsletter 1920 1080 Emma

On 31 May 2021, HKEx published its fourth issue of Listed Issuer Regulation Newsletter, which includes an update on listed issuers meeting financial reporting obligations amid the Covid-19 pandemic, guidance on lending transactions, confirmation on material loan arrangements of counterparties with connected persons when vetting notifiable transactions, and highlights of 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.

SFC Press Release – Investigation Updates

SFC Press Release – Investigation Updates 1400 788 Charing

SFC and Police launched joint operation against listed company and senior executives for market misconduct, and revoke revokes IDS Forex HK Limited’s licence and permanently bans its former co-CEOs from re-entering the industry.

HKEx Publishes Consultation Paper on Review of Corporate Governance Code and Related Listing Rules

HKEx Publishes Consultation Paper on Review of Corporate Governance Code and Related Listing Rules 1402 790 Emma

On 16 April 2021, HKEx published a consultation paper outlining proposed enhancements to the CG Code, as well as related amendments to the Listing Rules.

HKEx Published Consultation Paper on Listing Regime for Overseas Issuers

HKEx Published Consultation Paper on Listing Regime for Overseas Issuers 1400 788 Charing

On 31 March 2021, HKEx published a consultation paper (the “Consultation”) seeking comments on proposed amendments to the Listing Rules in order to enhance and streamline the listing regime for overseas issuers. 

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 Emma

In March 2021, HKEx published a Guidance Letter on pre-vetting for placings to connected clients in IPO

HKEx Publishes Listing Committee Report 2020

HKEx Publishes Listing Committee Report 2020 1920 1080 Emma

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.

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