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Read our expert legal news and briefings on Hong Kong’s financial services sector and capital markets.
HKEx’s Consultation Conclusions – Review of Listing Rules Relating to Disciplinary Powers and Sanctions 1401 788 Louise

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

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 1920 1080 Emma

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

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.

Proposed amendments to PDPO to combat doxxing activities 1400 787 Charing

Proposed amendments to PDPO to combat doxxing activities

The Legislative Counsel Panel published a paper in May 2021 on proposed amendments to the Personal Data (Privacy) Ordinance (Cap. 486) to combat a recent increase in “doxxing”.

Exemptions for senior executives of licensed corporations from compulsory quarantine arrangements 1402 790 Louise

Exemptions for senior executives of licensed corporations from compulsory quarantine arrangements

On 28 May 2021, the SFC issued a circular regarding the grant of exemptions for senior executives of licensed corporations from the three-week compulsory quarantine arrangements in Hong Kong under Cap. 599C and Cap. 599E.

HKEx Publishes Listed Issuer Regulation Newsletter 1920 1080 Emma

HKEx Publishes Listed Issuer Regulation Newsletter

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.

FSTB Concludes Landmark Consultation on New Licensing Regime for Virtual Assets Services Providers 1400 788 Basil Hwang

FSTB Concludes Landmark Consultation on New Licensing Regime for Virtual Assets Services Providers

After a three-month consultation (see our previous news update here) on the legislative proposal to introduce a new licensing regime for virtual asset services providers…

The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited 1400 788 Hugo

The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited

The Securities and Futures Commission reprimanded and fined Ewarton Securities Limited for internal control failings and breaches of the SFC’s Code of Conduct.

The Show Must Go On – Signing with Electronic Signatures in Hong Kong 1401 788 Charing

The Show Must Go On – Signing with Electronic Signatures in Hong Kong

Electronic signatures have been recognised in under Hong Kong laws as early as January 2000 with the enactment of the Electronic Transactions Ordinance (Cap. 553). This article provides a summary of the current legal framework governing electronic signatures in commercial settings and in litigation settings.

Joint statement on IPO-related misconduct 1920 1080 Emma

Joint statement on IPO-related misconduct

On 20 May 2021, SFC and HKEx issued a joint statement setting out the general approach taken by them to address regulatory issues formed in recent new listings.  The statement described how the regulators would deploy their respective powers under the SFO, the SMLR and the Listing Rules to tackle issues that mainly involved suspected arrangements to artificially satisfy the initial listing requirements, or facilitate market manipulation of the shares after the IPO.

HKEx Consultation Conclusions on the Main Board Profit Requirement 1401 789 Louise

HKEx Consultation Conclusions on the Main Board Profit Requirement

On 20 May 2021, the Stock Exchange of Hong Kong Limited published conclusions to its consultations on the Main Board Profit Requirement.

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