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Read our expert legal news and briefings on Hong Kong’s financial markets, logistics and technology.
Proposed name change for The Hong Kong Institute of Chartered Secretaries
Proposed name change for The Hong Kong Institute of Chartered Secretaries 1920 1080 Hauzen

Proposed name change for The Hong Kong Institute of Chartered Secretaries

On 3 May 2021, HKICS published a set of FAQs that addressed a number of questions relating to the Institute’s name change initiative.

Permission granted to provisional liquidators to seek Mainland recognition
Permission granted to provisional liquidators to seek Mainland recognition 1400 788 Hauzen

Permission granted to provisional liquidators to seek Mainland recognition

Permission granted to provisional liquidators to seek Mainland recognition may open new door to mutual recognition of cross-border insolvency proceedings

Financial Services and Treasury Bureau’s Proposal on Tax Concession for Carried Interest
Financial Services and Treasury Bureau’s Proposal on Tax Concession for Carried Interest 1920 1080 Hauzen

Financial Services and Treasury Bureau’s Proposal on Tax Concession for Carried Interest

In December 2020, the Financial Services and the Treasury Bureau of the Government of HKSAR published the Inland Revenue (Amendment) (Tax Concessions for Carried Interest) Bill 2021 in the Gazette.

Market Misconduct Tribunal sanctions two former executives for insider dealing
Market Misconduct Tribunal sanctions two former executives for insider dealing 1402 790 Hauzen

Market Misconduct Tribunal sanctions two former executives for insider dealing

In April 2021, following legal proceedings brought by the SFC, the MMT sanctioned two former executives of Asia Telemedia Limited (now known as Yunfeng Financial Group Limited) – Mr Charles Yiu Hoi Ying and Ms Marian Wong Nam.

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 Hauzen

HKEx’s disciplinary action against China Tangshang Holdings Limited and its executive directors

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 Hauzen

SFC Press Release – Investigation Updates

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 1400 788 Hauzen

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

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.

The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme
The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme 1401 789 Hauzen

The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme

The Financial Secretary the Paul Chan delivered his 2021-22 budget speech on 24 February 2021 proposing to launch a two-year pilot insurance-linked securities grant scheme to attract insurance enterprises or organisations to issue insurance-linked securities in Hong Kong.

FSTB Consultation paper on new licensing regime for virtual assets services providers
FSTB Consultation paper on new licensing regime for virtual assets services providers 1400 935 Hauzen

FSTB Consultation paper on new licensing regime for virtual assets services providers

FSTB published consultation paper proposeing to introduce a licensing regime for virtual assets services providers (“VASPs”).  The consultation period ended on 31 January 2021.

Legislative Council Panel on Financial Affairs discussed the Protection of Personal Information on the Companies Register
Legislative Council Panel on Financial Affairs discussed the Protection of Personal Information on the Companies Register 1920 1080 Hauzen

Legislative Council Panel on Financial Affairs discussed the Protection of Personal Information on the Companies Register

On 9 April 2021, the Legislative Council Panel on Financial Affairs discussed the proposed implementation of a new inspection regime for the Companies Register.

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

HKEx Published Consultation Paper on Listing Regime for Overseas Issuers

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. 

Consultation Conclusions on Proposed Amendments to the Code on Real Estate Investment Trusts
Consultation Conclusions on Proposed Amendments to the Code on Real Estate Investment Trusts 1401 789 Hauzen

Consultation Conclusions on Proposed Amendments to the Code on Real Estate Investment Trusts

On 9 June 2020, the Securities and Futures Commission (the “SFC”) issued a Consultation Paper on the Proposed Amendments to the Code on Real Estate…

SFC’s Consultation Paper on proposal to amend its Anti-Money Laundering and Counter-Financing of Terrorism Guidelines
SFC’s Consultation Paper on proposal to amend its Anti-Money Laundering and Counter-Financing of Terrorism Guidelines 1400 788 Hauzen

SFC’s Consultation Paper on proposal to amend its Anti-Money Laundering and Counter-Financing of Terrorism Guidelines

The SFC published a consultation paper on proposed amendments to (1) the Guideline on AML/CFT (For Licensed Corporations) and (2) the Prevention of Money Laundering and Terrorist Financing Guideline issued by the SFC for Associated Entities

Arbitration (Amendment) Ordinance 2021 to come into operation on 19 May 2021
Arbitration (Amendment) Ordinance 2021 to come into operation on 19 May 2021 1400 786 Hauzen

Arbitration (Amendment) Ordinance 2021 to come into operation on 19 May 2021

As previously reported, Hong Kong and the Mainland signed a Supplemental Arrangement on 27 November 2020 for the purpose of enhancing enforcement of arbitral awards between…

SFC consults on conduct requirements for bookbuilding and placing activities
SFC consults on conduct requirements for bookbuilding and placing activities 1402 790 Hauzen

SFC consults on conduct requirements for bookbuilding and placing activities

On 8 February 2021, the Securities and Futures Commission published a consultation paper on conduct requirements for capital market transactions in Hong Kong.

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