HKEx

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 Hauzen
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 Hauzen
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 Hauzen
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 Hauzen
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 Hauzen
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 Hauzen
On 27 November 2020, the Stock Exchange of Hong Kong Limited published a Consultation Paper proposing to increase the Main Board profit requirement.

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

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 1400 788 Hauzen
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 Hauzen
In March 2021, HKEx published a Guidance Letter on pre-vetting for placings to connected clients in IPO
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