Securities Regulation

Asialaw

Hauzen recognised as a Notable Law Firm (Regulatory) by Asialaw
Hauzen recognised as a Notable Law Firm (Regulatory) by Asialaw 250 250 Hauzen LLP

We are pleased to share that Hauzen LLP has been recognized as a Notable Firm in the Regulatory category by asialaw again! The AsiaLaw awards recognize the best firms in…

SFC Consultation: The REIT regime and market conduct regime for listed CIS
SFC Consultation: The REIT regime and market conduct regime for listed CIS 1400 788 Hauzen LLP
The proposed REIT regime and market conduct regime for listed CIS will hopefully enhance investor protection, promote market integrity, and ensure a level playing field for all market participants.

Tokenization of SFC-Authorised Products
Tokenization of SFC-Authorised Products 1400 788 Basil Hwang
Our key takeaways from the November 2023 SFC circular regarding the primary dealing of tokenised retail SFC-authorised products.

SFC Publishes VATP Lists & Forms Joint Group with HKPF
SFC Publishes VATP Lists & Forms Joint Group with HKPF 1401 788 Hauzen LLP
The SFC has taken steps to enhance investor protection and awareness of virtual asset trading platforms following the JPEX scandal.

How Sponsors Became Gatekeepers of HKEX
How Sponsors Became Gatekeepers of HKEX 1400 787 Greg Heaton
Thirty years ago, Tsingtao Brewery became the first mainland Chinese company to list on HKEX. Over 1400 others followed, scams included.
shell

Hong Kong SPACs’ Bedazzling Debut – Act II
Hong Kong SPACs’ Bedazzling Debut – Act II 1400 787 Greg Heaton
While a honeypot to some celebrities, tycoons and their professional advisors, SPACs have by and large been disastrous for everybody else.

Hong Kong SPACs’ Bedazzling Debut – Act I
Hong Kong SPACs’ Bedazzling Debut – Act I 1400 788 Greg Heaton
Hong Kong historically discouraged shell manufacturing and backdoor listings. It has now formalized these practices with the introduction of a SPAC regime.

CFI Dismisses Judicial Review against SFC’s Restriction Notices
CFI Dismisses Judicial Review against SFC’s Restriction Notices 1400 788 Kelly Ho
The judicial review applicants of the “No Consent Regime” have now challenged the Restriction Notices issued by the SFC, but were unsuccessful.

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 LLP
The Securities and Futures Commission reprimanded and fined Ewarton Securities Limited for internal control failings and breaches of the SFC’s Code of Conduct.

SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules
SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules 1402 790 Hauzen LLP
May 2018, the SFC published the Consultation Conclusions on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules.
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