HKEx

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.

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.

Joint statement on IPO-related misconduct

Joint statement on IPO-related misconduct 1920 1080 Emma
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

HKEx Consultation Conclusions on the Main Board Profit Requirement 1401 789 Louise
On 20 May 2021, the Stock Exchange of Hong Kong Limited published conclusions to its consultations on the Main Board Profit Requirement.

HKEx Consultation Paper on the Main Board Profit Requirement

HKEx Consultation Paper on the Main Board Profit Requirement 1401 788 Louise
On 27 November 2020, the Stock Exchange of Hong Kong Limited published a Consultation Paper proposing to increase the Main Board profit requirement.
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