Securities Regulation

Hauzen
13/11/2023

SFC Publishes VATP Lists & Forms Joint Group with HKPF

SFC Publishes VATP Lists & Forms Joint Group with HKPF https://hauzen.hk/wp-content/uploads/2020/09/stairs-alex-rodriguez-santibanez-AIvKJfwMcd8-unsplash_1401x788sm.jpg 1401 788 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 13/11/2023 20/11/2023

The SFC has taken steps to enhance investor protection and awareness of virtual asset trading platforms following the JPEX scandal.

Greg Heaton
19/09/2023

How Sponsors Became Gatekeepers of HKEX

How Sponsors Became Gatekeepers of HKEX https://hauzen.hk/wp-content/uploads/2023/09/woman-papers-pexels-cottonbro-studio-6532131.jpg 1400 787 Greg Heaton Greg Heaton https://secure.gravatar.com/avatar/aeb27e483ea54da0342f002ba531966f?s=96&d=mm&r=g 19/09/2023 23/11/2023

Thirty years ago, Tsingtao Brewery became the first mainland Chinese company to list on HKEX. Over 1400 others followed, scams included.

Greg Heaton
19/05/2023

Hong Kong SPACs’ Bedazzling Debut – Act II

Hong Kong SPACs’ Bedazzling Debut – Act II https://hauzen.hk/wp-content/uploads/2023/05/tortoise-adolfo-felix-BXN16VVFEio-unsplash_1400x787.jpg 1400 787 Greg Heaton Greg Heaton https://secure.gravatar.com/avatar/aeb27e483ea54da0342f002ba531966f?s=96&d=mm&r=g 19/05/2023 28/11/2023

While a honeypot to some celebrities, tycoons and their professional advisors, SPACs have by and large been disastrous for everybody else.

Greg Heaton
22/04/2023

Hong Kong SPACs’ Bedazzling Debut – Act I

Hong Kong SPACs’ Bedazzling Debut – Act I https://hauzen.hk/wp-content/uploads/2022/01/hong-kong-city-5012735_1920_1400x788sm.jpg 1400 788 Greg Heaton Greg Heaton https://secure.gravatar.com/avatar/aeb27e483ea54da0342f002ba531966f?s=96&d=mm&r=g 22/04/2023 23/11/2023

Hong Kong historically discouraged shell manufacturing and backdoor listings. It has now formalized these practices with the introduction of a SPAC regime.

Kelly Ho
01/02/2023

CFI Dismisses Judicial Review against SFC’s Restriction Notices

CFI Dismisses Judicial Review against SFC’s Restriction Notices https://hauzen.hk/wp-content/uploads/2021/11/woam-computer-pexels-mikhail-nilov-7534101_1400x788.jpg 1400 788 Kelly Ho Kelly Ho https://secure.gravatar.com/avatar/edf43aa4257659462da0e70132762ed4?s=96&d=mm&r=g 01/02/2023 01/02/2023

The judicial review applicants of the “No Consent Regime” have now challenged the Restriction Notices issued by the SFC, but were unsuccessful.

Hauzen
03/06/2021

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 https://hauzen.hk/wp-content/uploads/2021/11/stairs-pexels-atypeek-dgn-5649475_1400x788.jpg 1400 788 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 03/06/2021 10/01/2022

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

Hauzen
26/02/2021

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 https://hauzen.hk/wp-content/uploads/2020/12/stairs-pikwizard-498d26a768504c041a26333fdbca5804_1402x790sm.jpg 1402 790 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 26/02/2021 01/11/2021

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