SFC

Court Finds Trio Insider Dealing in TeleEye Shares & Order Disgorgement of Profits
Court Finds Trio Insider Dealing in TeleEye Shares & Order Disgorgement of Profits 1400 788 Hauzen LLP
We remind the reader that there are serious consequences to insider dealing and for failing to respond to SFC’s enquiries and investigation. 

Publication of Corporate Governance & ESG (Climate Disclosures) Guidance
Publication of Corporate Governance & ESG (Climate Disclosures) Guidance 1400 788 Hauzen LLP
On 5 November 2021, the Exchange published guidance on climate disclosures and analysis of IPO applicants’ ESG practice disclosure in 2020/2021.

SFC publishes Consultation Conclusion to Code on Pooled Retirement Funds
SFC publishes Consultation Conclusion to Code on Pooled Retirement Funds 1400 788 Hauzen LLP
Amended PRF Code expected to come into force in November 2021. SFC will allow 12-month transitional period key operators to implement.

SFC’s Revised Guidelines on Competence effective on 1 January 2022 – Part II
SFC’s Revised Guidelines on Competence effective on 1 January 2022 – Part II 1401 788 Hauzen LLP

We return with the second part to our two-part series on the Consultation Conclusions on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners published on 18 June…

SFC’s Revised Guidelines on Competence effective 1 Jan 2022
SFC’s Revised Guidelines on Competence effective 1 Jan 2022 1401 788 Hauzen LLP
In this two-part series, we will focus on the key changes under the Competence Guidelines for Responsible Officers and Licensed Representatives.

SFC reminds public of importance of seeking Executive’s approval of special deals
SFC reminds public of importance of seeking Executive’s approval of special deals 1920 1080 Hauzen LLP
In the SFC’s Takeovers Bulletin published in September 2021, the Securities and Futures Commission (the “SFC”) reminded the public of the importance of seeking the takeover executive’s (the “Executive”) approval of special deals. This article provides an overview of the recent development in this area.

Record keeping in the cloud: As an old law falls to a modern reality, do SFC licensees risk repercussions?
Record keeping in the cloud: As an old law falls to a modern reality, do SFC licensees risk repercussions? 1402 790 Greg Heaton
Are your company records stored in the cloud? Licensees in Hong Kong beware you are likely breaching the Securities and Futures Ordinance.

SFC’s Consultation Conclusions on Proposals to (1) Implement an Investor Identification Regime and (2) Introduce an Over-The-Counter Securities Transactions Reporting Regime
SFC’s Consultation Conclusions on Proposals to (1) Implement an Investor Identification Regime and (2) Introduce an Over-The-Counter Securities Transactions Reporting Regime 1401 789 Hauzen LLP

Further to our article on the Securities and Futures Commission’s (the “SFC”) consultation on the investor identification regime and an over-the-counter securities transactions reporting regime, on 10 August 2021, the…

SFC Licensed Intermediaries: A reminder of your self-reporting obligation
SFC Licensed Intermediaries: A reminder of your self-reporting obligation 1400 788 Hauzen LLP
If you are a SFC-licensed intermediary, then you are subject to the self-reporting obligation as set out in paragraph 12.5 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (the “Code”).

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.
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