Financial Services Regulatory Update 2022/02/25

  • Hong Kong Securities and Futures Commission Issues Phasal Consultation Conclusion on Licensing Depositaries of SFC-Authorized Collective Investment Schemes (under New Regulated Activity 13)
  • Hong Kong Securities and Futures Commission Issues Quarterly Report
  • Hong Kong Securities and Futures Commission Reprimands and Fines South China Commodities Limited HK$4.8 Million for Regulatory Breaches
  • The China Securities Regulatory Commission Releases Provisions on the Supervision and Administration of Depository Receipts under the Stock Connect Scheme between Domestic and Overseas Stock Exchanges
  • Officials from the China Securities Regulatory Commission Answer Reporter Questions Regarding the Depository Receipts Business under the Stock Connect Scheme
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Financial Services Regulatory Update 2022/02/11

  • A Caveat on Mandatory General Offer Triggered by the “Chain Principle”
  • Market Misconduct Tribunal Sanctions Tianhe Chemicals Group Limited and its Executive Director for Issuing False or Misleading Information in the Company’s Listing Prospectus
  • China Securities Regulatory Commission Issues “Guidance on Improving the Quality of Prospectus Information Disclosure under the Registration System”
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