HKEx

Financial Services Regulation

HKEx Guidance Materials on Paperless Listing & Subscription Regime, Online Display of Documents & Reduction of Types of Documents on Display
HKEx Guidance Materials on Paperless Listing & Subscription Regime, Online Display of Documents & Reduction of Types of Documents on Display 1920 1080 Hauzen LLP
On 23 September 2021, HKEx published guidance materials on Listing Rule amendments adopted in the Consultation Conclusions on Paperless Listing & Subscription Regime, Online Display of Documents and Reduction of the Types of Documents on Display.
Financial Services Regulation

HKEx Consultation Paper on Special Purpose Acquisition Companies
HKEx Consultation Paper on Special Purpose Acquisition Companies 1920 1080 Hauzen LLP
On 17 September 2021, the Stock Exchange of Hong Kong Limited published a consultation paper seeking market feedback on proposals to create a listing regime for special purpose acquisition companies in Hong Kong.
Financial Services Regulation

HKCGI’s Guidance Note on Securities Law and Regulation
HKCGI’s Guidance Note on Securities Law and Regulation 1920 1080 Hauzen LLP
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 Hauzen LLP
On 24 August 2021, The Stock Exchange of Hong Kong Limited censured Coolpad Group Limited (Stock Code: 2369) and six former directors.
Financial Services Regulation

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 Hauzen LLP
On 19 July 2021, the GEM Listing Committee of HKEx censured two former directors of Farnova Group Holdings Limited (Stock Code: 8153).
Financial Services Regulation

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 Hauzen LLP
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 Hauzen LLP
Hong Kong Exchanges and Clearing published the conclusions of its consultation on its review of the Listing Rules relating to disciplinary powers and sanctions.
Financial Services Regulation

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 LLP
HKEx reiterated that directors, including INEDs, have clear duties and responsibilities to safeguard the interests and assets of a listed issuer.
Financial Services Regulation

HKEx Publishes Listed Issuer Regulation Newsletter
HKEx Publishes Listed Issuer Regulation Newsletter 1920 1080 Hauzen LLP
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.
Financial Services Regulation

Joint statement on IPO-related misconduct
Joint statement on IPO-related misconduct 1920 1080 Hauzen LLP
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.
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