regulatory

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…

Virtual Assets: A Regulatory Overview

Virtual Assets: A Regulatory Overview 1401 788 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.

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 1402 790 Emma
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.

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

SFC, HKEx Directed to Explore SPAC Listings in Hong Kong

SFC, HKEx Directed to Explore SPAC Listings in Hong Kong 1920 1080 Emma
March 2021, SFC and HKEx briefed a forum of top financial leaders in Hong Kong about the latest developments in Special Purpose Acquisition Companies (SPACs)
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