regulatory

VIDEO: Financial Regulation in Hong Kong

VIDEO: Financial Regulation in Hong Kong 600 600 Basil Hwang
Our Basil Hwang and Kelly Ho give us an overview of the financial regulatory sector in Hong Kong.

Consultation on New Type 13 Regulated Activity

Consultation on New Type 13 Regulated Activity 1400 788 Charing
In Feb 2022, SFC released its Consultation Conclusions on the Proposed Regulatory Regime for Depositaries of SFC-authorised Collective Investment Schemes.

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 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.

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

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

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 (“VASPs”) with an objective of…

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

The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited 1400 788 Hauzen
The Securities and Futures Commission reprimanded and fined Ewarton Securities Limited for internal control failings and breaches of the SFC’s Code of Conduct.

Virtual Assets: A Regulatory Overview

Virtual Assets: A Regulatory Overview 1400 935 Hauzen
A balanced regulatory approach is crucial to address risks of virtual assets on the one hand, and to minimize the compliance burden to businesses on the other.

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.

Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information

Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information 1920 1080 Emma
On 12 May 2021, MMT fined China Medical & HealthCare Group Limited, formerly known as COL Capital Limited, and six of its former and current directors a total of $4.2 million for failing to disclose inside information as soon as reasonably practicable following proceedings brought by the SFC.

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

When you visit our website, it may store information through your browser from specific services, usually in the form of cookies. Here you can change your Privacy preferences. It is worth noting that blocking some types of cookies may impact your experience on our website and the services we are able to offer.

Click to enable/disable Google Analytics tracking code.
Click to enable/disable Google Fonts.
Click to enable/disable Google Maps.
Click to enable/disable video embeds.
Our website uses cookies, mainly from 3rd party services. Define your Privacy Preferences and/or agree to our use of cookies.