• Hong Kong’s Single-Family Offices Surpass 3,380, Contributing Over HK$10 Billion Annually to the Economy
• Hong Kong Securities and Futures Commission Directs IPO Sponsors to Conduct Internal Reviews to Rectify Serious Deficiencies in the Preparation of New Listing Documents
• Hong Kong Securities and Futures Commission and Hong Kong Monetary Authority Jointly Consult on Standard Calculation Periods Under OTC derivative Clearing Rules
• Hong Kong Securities and Futures Commission Cautions Against Ramp and Dump Schemes Involving Impersonation of Stock Commentators
• Hong Kong Monetary Authority Publishes Practice Guide on Cloud Adoption
• Hong Kong Monetary Authority publishes Hong Kong Taxonomy for Sustainable Finance Phase 2A
• Hong Kong Office of the Privacy Commissioner for Personal Data Reports on 2025 Work and Intervenes in Three Data Security Incidents to Safeguard Personal Data
• Hong Kong Green and Sustainable Finance Cross-Agency Steering Group Announces Strategic Priorities for 2026–2028 to Strengthen Hong Kong’s Role as a Global Sustainable Finance Center
• Hong Kong Government Reports Record High Numbers of Companies and Start-Ups Affirming Hong Kong’s Competitive Business Advantages
• People’s Bank of China and China Securities Regulatory Commission Address Risks Related to Virtual Currencies Through Official Notice and Q&A
• Hong Kong Independent Commission Against Corruption Affirms Commitment Following Strong 2025 Corruption Perceptions Index Ranking
• Hong Kong Competition Commission Launches New Enforcement Action Against Bid Rigging in Building Maintenance Sector
Category: Financial Services Regulatary Update
Financial Services Regulatory Update 2026/01/30
• Practical Changes Brought About by the New Ongoing Public Float Requirements for Hong Kong Listed Companies, Effective January 1, 2026
• Hong Kong Financial Secretary Advocates the Government’s Aim to Turn CMU OmniClear into a Multi-asset Class Platform that Provides Custodian Services to Both Equity and Debt Securities
• Hong Kong Government to Enhance the City’s Role as a Global Hub for Gold Trading
• Hong Kong Exchanges and Clearing Limited consults on Enhancements to Board Lot Framework, Increasing Market Efficiency and Accessibility
• Hong Kong Monetary Authority publishes Project Cargox Recommendation Report to Modernise Hong Kong’s Trade Finance Landscape
• The Stock Exchange of Hong Kong Limited Publishes Results of Annual Review of Issuers’ Annual Reports, Corporate Governance Reports and Environmental, Social and Governance Reports, Updates Annual Report Guide, and Launches AI-based Annual Report Explorer
• Hong Kong Accounting and Financial Reporting Council Proposes Mandatory Sustainability Assurance to Strengthen Hong Kong’s Role as a Leading Green Finance Hub
• Statistics Shown by Hong Kong Companies Registry’s Prosecution Cases Against Listed Companies in 2025
• Hong Kong Accounting and Financial Reporting Council Fines Rongcheng (Hong Kong) CPA Limited and Two Principals Over HK$1.18 Million for Regulatory Breaches
• Former Vice President of Computershare Hong Kong Investor Services Limited Jailed and Fined for Insider Dealing
• Hong Kong Financial Services and the Treasury Bureau and Hong Kong Securities and Futures Commission Conclude Consultations on Virtual Asset Dealer and Custodian Regimes, Further Consult on Two New Regimes
• New “Continuous Contract” Criteria Under Hong Kong’s Employment Ordinance Came into Effect on January 18, 2026
Financial Services Regulatory Update 2025/12/19
- Hong Kong Well-positioned to be a Global Hub for Regulatory Harmonization
- The Hong Kong Exchanges and Clearing Limited Publishes Conclusions on Proposed Amendments to Ongoing Public Float Requirements, to take effect on January 1, 2026
- The Hong Kong Exchanges and Clearing Limited Publishes Report of Annual Review of Issuers’ Reports and Updates of Guide on Preparation of Annual Report, and Launch of Annual Report Explorer
- The Hong Kong Exchanges and Clearings Limited Reminds on Common Misunderstandings Regarding Director Duties
- The Hong Kong Exchanges and Clearing Limited Issues Guidance for Listed Issuers Navigating Opportunities in the Digital Asset Landscape
- The Hong Kong Exchanges and Clearing Limited’s Disciplinary Action Against Target Insurance (Holdings) Limited and 6 Directors for Causing Prejudice to the Interest of Investors by Publishing Inaccurate, Incomplete and Misleading Announcement Regarding Proposed New Business
- Hong Kong Securities and Futures Commission Recent Conviction Cases Underscore Criminal Liability for False Trading and Insider Dealing
- Hong Kong Securities and Futures Commission Obtains Interim Court Order to Freeze up to HK$62.6 Million of Assets of Suspected Manipulator of Eggriculture Shares in Alleged Sophisticated Ramp-and-dump Market Manipulation
- Hong Kong Securities and Futures Commission Suspends Dealings in Dashan Education Holdings Limited Shares over Significant Overstatement of Corporate Bank Balances
- Hong Kong Securities and Futures Commission Issues Circular on Detecting and Preventing Layering in Money Laundering for Licensed Corporations and Virtual Asset Trading Platforms
- Hong Kong Accounting and Financial Reporting Council Reprimands Audit Firm and Directors for Negligence and Breaches of Auditing Standards in Audit of Hong Kong Listed Company’s Financial Statements
- Hong Kong Government Launches Consultation on Crypto-Asset Reporting and Common Reporting Standard Amendments to Enhance Tax Transparency and Combat Cross-border Tax Evasion
- Hong Kong and Shenzhen Launch Joint Action Plan to Build Global Fintech Hub (2025–2027)
- China’s Central “15th Five Year Plan” Proposal Highlights Building a Financial Powerhouse for the First Time
Financial Services Regulatory Update 2025/11/22
- Hong Kong Securities and Futures Commission Issues Guidance for Virtual Asset Trading Platforms to Expand Global Liquidity and Product Diversity Offerings
- Hong Kong Monetary Authority Announces New Phase of Project Ensemble to Facilitate Real-Value Transactions in Tokenized Deposits and Digital Assets
- Hong Kong Securities and Futures Commission Secures First Custodial Sentence Against Finfluencer for Unlicensed Provision of Paid Investment Advice on Social Media Chat Group
- Hong Kong Securities and Futures Commission Launches Consultation to Enhancements Proposal to the Hong Kong’s Retail Fund Code to Align with International Standards and Broaden Product Offerings
- Hong Kong Accounting and Financial Reporting Council Publishes Global Developments in Audit Regulation Study Across Six Jurisdictions: Highlights Opportunities to Strengthen Hong Kong’s Approach to Uphold Audit Integrity
- Hong Kong Competition Commission Publishes Annual Report 2024/2025 to Detail Enforcement Investigations and Advocacy
- China Securities Regulatory Commission Issues Work Plan to Optimize Qualified Foreign Investor System as Part of Capital Market Opening Efforts
- People’s Republic of China Adopts Amendment to Arbitration Law Effective 1 March 2026 to Modernize Framework and Promote Use in International Commercial Disputes
- Hong Kong Office of the Privacy Commissioner for Personal Data Issues Guidance and Leaflets on Use of CCTV Systems and Video Cameras on Drones and Vehicles
- Hong Kong Competition Commission Reaches Resolution with Keeta on Two-Step Process to Amend Agreements with Partnering Restaurants, Promoting Compliant Business Practices
Financial Services Regulatory Update 2025/10/25
- Hong Kong Monetary Authority and Hong Kong Securities and Futures Commission Chart the Course to Transform Hong Kong into a Global Fixed Income and Currency Hub
- Hong Kong Securities and Futures Commission Publishes Takeovers Bulletin with Guidance on DoD Data Redaction, Disclosure of Dividend Impact on Offer Price, and Revised Practice Note 9 on Exempt Fund Manager and Exempt Principal Trader Eligibility
- Hong Kong Securities and Futures Commission Issues Enforcement Reporter Highlighting Surge in Scam Complaints, SENSOR Monitoring System, and Global Anti-Fraud Collaboration
- Hong Kong Securities and Futures Commission Launches Dedicated Channel and Streamlined Authorisation Process to Support REIT Market Growth
- Hong Kong Exchanges and Clearing Limited Signs Memorandum of Understanding to Advance Carbon Market Ecosystem in Greater Bay Area
- Hong Kong Securities and Futures Commission Completes Landmark Compensation Distribution to Eligible Combest Shareholders
- Hong Kong Exchanges and Clearing Limited Introduces Hang Seng Biotech Index Futures to Expand Investment Opportunities in Biotechnology Sector
- Hong Kong Exchanges and Clearing Limited Establishes New Dubai Subsidiary to Advance Commodities Business
- Hong Kong Companies Registry Publishes 2024-25 Annual Report that Reiterates its Strategic Vision and Outlines its Commitment to Enhancing Business Facilitation in the Greater Bay Area, While Continuously Streamlining its Functions and Services to Better Support the Business Community
- Hong Kong Government Ranked Third Globally in the Global Financial Centers Index
- China Securities Regulatory Commission Releases Three Financial Industry Standards to Standardize Securities and Futures Practices
Financial Services Regulatory Update 2025/09/26
- The Office of the Privacy Commissioner for Personal Data, Hong Kong Publishes Practical Recommendations for Organizations to Anonymize Personal Data Before Feeding Them into AI Models to Strengthen Data Protection Across Asia-Pacific
- Hong Kong Monetary Authority and Hong Kong Securities and Futures Commission Publish Joint Conclusions on Enhancements to OTC Derivatives Reporting Regime
- Hong Kong Government Commences Operation of Banking (Amendment) Ordinance 2025 on November 3, 2025 to Introduce Law Enforcement Information Sharing Platform
- Hong Kong Securities and Futures Commission Publishes Quarterly Report Highlighting Enhancements of Hong Kong’s Market Competitiveness and Appeal
- Hong Kong Securities and Futures Commission Reprimands and Fines The Hongkong and Shanghai Banking Corporation Limited HK$4.2 Million for Disclosure Failures in Research Reports
- Hong Kong Securities and Futures Commission Reprimands and Fines Instinet Pacific Limited HK$8 Million for Failure to Report Cross Trades to the Stock Exchange of Hong Kong Limited
- Hong Kong Securities and Futures Commission Seeks Court Order to Freeze HK$62.5 Million in Assets for Investor Compensation in Ramp-and-Dump Case
- Hong Kong Competition Commission Conducts Search in Bid-Rigging Case Involving 25 Building Maintenance Projects Across Multiple Districts
- The Office of the Privacy Commissioner for Personal Data, Hong Kong Publishes Investigation Reports on Data Breaches at Kwong’s Art Jewelry, My Jewelry Management, and Adastria Asia
- Hong Kong Accounting and Financial Reporting Council Reprimands and Fines Deloitte and Engagement Partners HK$1.9 Million for Audit Deficiencies in Formerly Listed Companies
- The Hong Kong Exchanges and Clearing Limited Hosts Climate Finance Forum to Shape the Future of Environmental Markets
- Hong Kong Monetary Authority Launches Public Consultation on Phase 2A Prototype of Hong Kong Taxonomy for Sustainable Finance
- Hong Kong Monetary Authority Issues Guidance on “E-Banking Security ABCD” to Enhance Defenses Against Deepfake-Driven Fraud
Financial Services Regulatory Update 2025/08/29
- Digitalization Transformation of the Regulatory Infrastructure of Hong Kong’s Financial Markets is Gaining Momentum
- Updates on The Stock Exchange of Hong Kong Limited’s Headline Categories regarding Nomination Committee Changes and Compliance
- The Stock Exchange of Hong Kong Limited Updates Guidance Materials to Reflect Expansion in Paperless Listing Regime
- Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Limited Launch First-Ever Joint Disciplinary Action Against Listed Company Directors to Enforce Cooperation in Investigations
- The Hong Kong Exchanges and Clearing Limited Implements Phase 1 Minimum Spreads Reduction to Enhance Trading Efficiency
- The Stock Exchange of Hong Kong Limited Concludes Consultation on IPO Price Discovery and Open Market Requirements and Launches Further Consultation on Ongoing Public Float Proposals
- Hong Kong Financial Services and the Treasury Bureau Launches Public Consultation on Strengthening Licensed Money Lenders Regulation to Address Excessive Borrowing
- Hong Kong Securities and Futures Commission Secures Disqualification Order to Uphold Corporate Governance Standards
- Hong Kong Securities and Futures Commission and Independent Commission Against Corruption Conduct Joint Operation to Combat Market Manipulation and Corruption
- Hong Kong Securities and Futures Commission Reports 13% Asset Growth Highlighting Robust Fund Management Sector
- Hong Kong Accounting and Financial Reporting Council Publishes Inspection Findings to Enhance Transparency and Regulatory Compliance
- Hong Kong Monetary Authority Implements Supervisory Regime for Licensed Stablecoin Issuers
- Hong Kong Insurance Authority Publishes Consultation Conclusions on Draft Insurance (Public Disclosure) Rules for Public Disclosure Requirements
- The Hong Kong Companies Registry Releases Statistics for First Half of 2025
- China Securities Regulatory Commission Imposes Penalties to Address Financial Fraud in Listed Companies
Financial Services Regulatory Update 2025/07/25
- The Stock Exchange of Hong Kong Limited Clarifies Directors’ Training and Other Responsibilities under Enhanced Corporate Governance Regime
- Hong Kong Securities and Futures Commission Publishes Takeovers Bulletin Allowing Exclusion of Leased Assets Not Analogous to Ownership in Property from Rule 11.1(f) of the Takeovers Codes
- Hong Kong Inland Revenue Department Issues Guidance on Transitional Taxation Treatments for Re-domiciled Companies under Hong Kong’s New Re-domiciliation Regime
- Hong Kong Securities and Futures Commission Announces First Active ETF Cross-Listing, Underscoring Hong Kong’s Status as Premier Asset and Wealth Management Centre
- Hong Kong Securities and Futures Commission Launches Public Consultation on Legislative Proposal to Regulate Dealing in Virtual Assets and Proposed Regimes for Virtual Asset Dealers and Custodians
- Hong Kong Securities and Futures Commission Implements New Position Limits for Key Exchange-Traded Derivatives on Hang Seng Index, Hang Seng China Enterprises Index, and Hang Seng TECH Index
- Hong Kong Regains Global IPO Top Spot in First Half of 2025, According to KPMG and PwC Reports
- China Securities Regulatory Commission Imposes Total Fine of RMB 30.8 Million on Former Listed Companies for Financial Fraud, Holding Cooperating Parties Accountable for First Time
- Hong Kong Accounting and Financial Reporting Council Publishes 2024-25 Annual Report, Outlining Initiatives on Regulation, Governance, Development, and Organizational Effectiveness
- Hong Kong Accounting and Financial Reporting Council Reprimands Wu Kam Shing for CPA Misconduct and Imposes HK$200,000 Penalty Following Insider Dealing Determination
- Hong Kong Eastern Magistrates’ Courts Sentence Market Manipulators to Community Service for Up to 240 Hours
- Hong Kong Securities and Futures Commission Obtains Disqualification Orders of Up to 10 Years Against Former Directors of Superb Summit International Group Limited
Financial Services Regulatory Update 2025/06/27
- Hong Kong’s Role in Renminbi’s Internationalization and Digitalization, with Emphasis on Promoting Measures to Protect Investors and Traders
- Hong Kong Exchanges and Clearing Limited Releases Information Paper on Rule Amendments for Uncertificated Securities Market and Issuer Platform
- Hong Kong Securities and Futures Commission Adopts Fee Limits for Approved Securities Registrars in Uncertificated Securities Market
- Proposed AML/CFT Framework for Hong Kong’s Stablecoins Ordinance to commence August 1, 2025
- Hong Kong Company Re-domiciliation Regime: Overview and Practical Guide
- Landmark SFC Court Decision Secures $192 Million Compensation to Individual Public Shareholders and Director Disqualifications in Combest’s Case
- Hong Kong Exchanges and Clearing Limited Introduces CATL Listing to Enhance Market Product Offering
- The Legislative Council of Hong Kong Passes Inland Revenue (Amendment) (Minimum Tax for Multinational Enterprise Groups) Bill 2024
- The Stock Exchange of Hong Kong Releases Monthly Report on IPO Applications, Delisting, and Suspensions for May 2025
- China Securities Regulatory Commission Revises Administrative Measures on Major Asset Restructuring of Listed Companies
- Hong Kong Securities and Futures Commission and Hong Kong Exchanges and Clearing Limited Publish Joint Announcement on Launch of Technology Enterprises Channel
- Signing of the International Organization for Mediation Convention in Hong Kong, the Organization’s Headquarters
Financial Services Regulatory Update 2025/05/23
- Hong Kong Rolls out Further Swap Connect Enhancements
- Hong Kong Establishes Licensing Regime for Stablecoin Issuers
- Hong Kong Introduces Company Re-domiciliation Regime and Opens for Applications
- Hong Kong Passes New Law to Protect Infrastructure Cybersecurity – The Protection of Critical Infrastructure (Computer System) Ordinance
- Hong Kong Securities and Futures Commission and The Hong Kong Exchanges and Clearing Limited Launch Technology Enterprises Channel with Confidential Filing Option for Specialist Technology and Biotech Companies
- Hong Kong Securities and Futures Commission Issues Additional Guidance to Licensed Corporations on IPO Subscription and Financing Services
- Hong Kong Monetary Authority, Hong Kong Police Force, and Hong Kong Association of Banks Announce Enhanced Measures to Combat Financial Crime
- The Hong Kong Monetary Authority Launched Banking Regulatory Document Repository
- Hong Kong Gazettes Banking (Amendment) Bill 2025 to Enhance Financial Crime Detection
- Hong Kong Securities and Futures Commission Prepares Uncertificated Securities Market Regime for Early 2026
- Hong Kong Securities and Futures Commission’s Takeovers Bulletin Stresses Avoidance of Unequal Dissemination of Information Through Investor Meetings or Other Channels
- Hong Kong Securities and Futures Commission Promotes Collaboration on Virtual Assets in Abu Dhabi and Dubai
- Hong Kong Securities and Futures Commission Issues Staking Guidance for Licensed Virtual Asset Trading Platforms and Authorized Virtual Asset Funds
- Hong Kong Securities and Futures Commission Releases Consultation Paper on Proposed Amendments to Securities and Futures (Stock Market Listing) Rules, Addressing Identified Gaps and Operational Limitations in the Rules and Refining Existing Procedures
- Hong Kong Securities and Futures Commission Announces Formal Adoption of FASTrack after 6-Month Pilot Period
- Hong Kong Securities and Futures Commission Issues Guidelines on Market Soundings
- Hong Kong Competition Commission Reports Key Enforcement and Compliance Developments
Hong Kong Recent Enforcement Actions: Cases and Consequences
Hong Kong Recent Enforcement Actions: Cases and Consequences
This article provides an overview of recent enforcement cases noteworthy to listed companies in Hong Kong, categorized by the nature of misconduct rather than the regulatory authorities responsible. Drawing on actions by the Securities and Futures Commission (SFC), The Stock Exchange of Hong Kong Limited (HKSE), the Independent Commission Against Corruption (ICAC), the Hong Kong Competition Commission, and the Companies Registry, it covers topics like breaches of directors’ duties, internal control failures, market misconduct, fraud, corruption, anti-money laundering violations, competition law breaches, company law compliance, and investor compensation cases. This thematic approach highlights common compliance challenges and the critical need for robust governance to protect market integrity and investor interests.
Recent Enforcement Cases_JML_20250425Financial Services Regulatory Update 2025/03/21
- Hong Kong Independent Commission Against Corruption’s Promotion and Enforcement for Integrity in the Banking Industry
- U.S. Law Firm Fined GBP300,000 by Solicitors Disciplinary Tribunal of England and Wales for Anti-money Laundering Breaches
- Hong Kong Securities and Futures Commission Suspends Finfluencer for Unlicensed Investment Advice
- Hong Kong Securities and Futures Commission Releases Quarterly Report Showing Strong Momentum in Hong Kong’s Capital Markets Towards End of 2024
- Hong Kong Insurance Authority Secures First Conviction Against Licensed Insurance Broker for Failure to Submit Audited Financial Statements
- The China Securities Regulatory Commission Issues “Guideline No. 11 on the Supervision of Listed Companies — Matters Related to the Bankruptcy Reorganization of Listed Companies
- Hong Kong Accounting and Financial Reporting Council Publishes Report Digest: Reminders for 2024/25 Year-End Audits
- Hong Kong Exchanges and Clearing Limited Signs MOU with CMU OmniClear to Enhance the Post-Trade Securities Infrastructure of Hong Kong’s Capital Markets
- OTC Clearing Hong Kong Limited to Accept China Government Bonds, Policy Bank Bonds as Collateral for All Derivatives from 21 March 2025
Financial Services Regulatory Update 2025/02/28
- Hong Kong Securities and Futures Commission Unveils New Roadmap to Develop Hong Kong as a Global Virtual Asset Hub
- Hong Kong Green and Sustainable Finance Cross-Agency Steering Group Sets 2025 Priorities to Support Growth of Sustainable Finance in Hong Kong
- The Hong Kong Securities and Futures Commission Flags Cybersecurity Incidents Involving Licensed Firms that Resulted in Business Disruptions in Thematic Review Report
- The Hong Kong Accounting and Financial Reporting Council Study Advocates for Improved Sustainability Assurance Practices and Urges Auditors to Incorporate Climate Risks in Financial Audits
- Hong Kong Securities and Futures Commission Concludes Consultation on Proposals to Pave Way for Fully Digitalized Public Offerings
- Hong Kong Securities and Futures Commission Reprimands and Fines Hang Seng Bank Limited HK$ 66.4 Million for Misconduct in Selling Practices of Investment Products
- London Metal Exchange Approves Hong Kong as a Delivery Point, Expanding Global Commodity Market Access
- International Monetary Fund Acknowledges Hong Kong’s Economic Recovery and Resilient Financial System Amid Global Challenges
- Hong Kong Securities and Futures Commission Supports Listing of Alternative Funds to Broaden Investor Choice and Bolster Market Development
- Hong Kong Gazettes Subsidiary Legislation to Implement Uncertificated Securities Market Regime for Enhancing Market Efficiency
- Hong Kong Intellectual Property Department Launches Revised Trade Marks, Patents, and Designs Forms Effective May 2025
- Hong Kong Companies Registry Implements Key Legislative Reforms Effective April 17, 2025
Financial Services Regulatory Update 2025/01/25
- Hong Kong OTC Market Expands Collateral Options to Include China Government Bonds and Policy Bank Bonds for Derivatives
- The Stock Exchange of Hong Kong Limited Publishes Conclusions on Further Paperless Listing Reforms
- Hong Kong Monetary Authority Launches Digital Bond Grant Scheme to Advance Securities Market Innovation
- Hong Kong Securities and Futures Commission Issues Circular on Listed Structured Funds
- Hong Kong Enhances New Capital Investment Entrant Scheme to Attract Global Investors
- Hong Kong Legislative Council Passed the Companies (Amendment) Bill 2024 to Establish a Treasury Share Regime and Promote Paperless Corporate Communication for Both Listed and Unlisted Hong Kong Companies
- Hong Kong Process Review Panel for the Accounting and Financial Reporting Council Publishes 2023-24 Annual Report
- Hong Kong Accounting and Financial Reporting Council Gives its First Direction for Additional Continuing Professional Development in Accounting Firm Disciplinary Case
- The Securities and Futures Commission of Hong Kong Extends Swift Licensing Process for Virtual Asset Trading Platform Applicants
- New Initiatives between the Hong Kong Monetary Authority and the People’s Bank of China – Strengthened Financial Cooperation Between Hong Kong and Mainland China
- Tender of 10-year Hong Kong Dollars Hong Kong Special Administrative Region Government Institutional Government Bonds
- Hong Kong Outlines Sustainability Disclosure Roadmap to Enhance Green Finance Standards
- Hong Kong Exchanges and Clearing Limited and Cathay Pacific Airways Limited Settle Carbon Credits on Core Climate Marketplace
Using AI While Safeguarding Personal Data Privacy in Hong Kong
Using AI While Safeguarding Personal Data Privacy in Hong Kong
Learn how organizations can adopt ethical AI practices with the Privacy Commissioner’s new framework
Using AI While Safeguarding Personal Data Privacy in Hong Kong_enFinancial Services Regulatory Update 2024/12/20
- Hong Kong Government Publishes Stablecoins Bill to Establish Regulatory Framework for Stablecoins
- The Stock Exchange of Hong Kong Limited Concludes Consultation on Review of the Corporate Governance Code and Related Listing Rules, with Changes Applicable to Corporate Governance Reports and Annual Reports for Financial Years Commencing on or after July 1, 2025, and Updates its New ESG Regulatory Focuses
- The Stock Exchange of Hong Kong Limited Presents Results of Review of Issuers’ 2023 Annual Reports and Publishes New Comprehensive Guidance
- The Stock Exchange of Hong Kong Limited Releases the 2024 Analysis of ESG Practice Disclosure
- Hong Kong Securities and Futures Commission Publishes Quarterly Report on Greater Connectivity Driving Hong Kong’s Capital Markets Forward
- Hong Kong Exchanges and Clearing Limited Introduces New Post-Trade Services on Orion Cash Platform – Technically Ready to Support T+1 Settlement by End of 2025
- Hong Kong Exchanges and Clearing Limited Introduces Fund Repository on Integrated Fund Platform, enhancing transparency of fund information
- Hong Kong Court Verdict on Conspiracy to Defraud Listed Issuer, its Board and Shareholders over Secret Backdoor Listing
- Hong Kong Market Misconduct Tribunal Sanctions Former Chairman and CEO of China Forestry Holdings Company Limited for Market Misconduct, Ordering the Former CEO to Disgorge a Substantial Sum of HKD 353,430,000
- Hong Kong Government Launches Roadmap on Sustainability Disclosure in Hong Kong
- Hong Kong Government Welcomes Passage of Stamp Duty Legislation (Miscellaneous Amendments) Bill 2024
Financial Services Regulatory Update 2024/11/29
- Hong Kong Government Amended Stamp Duty Legislation to Waive the Stamp Duty Payable on the Transfer of Units of Real Estate Investment Trusts and the Jobbing Business of Options Market Makers, and to Provide for a Revised Stamp Duty Collection Arrangement Upon the Implementation of the Uncertificated Securities Market Regime in Hong Kong
- Hong Kong Government Welcomes First Batch of Brokers Joining Cross-Boundary Wealth Management Connect
- Hong Kong Exchanges and Clearing Limited to Digitalize Exchange-Traded Products Servicing Capabilities with Online Platform
- Hong Kong Securities and Futures Commission Holds Forum to Encourage Responsible Regtech Adoption for Anti-money Laundering and Counter-financing of Terrorism
- Hong Kong Securities and Futures Commission Sets Out Vision to Foster a Vibrant Fintech Ecosystem in Hong Kong
- Hong Kong Securities and Futures Commission and the Independent Commission Against Corruption Jointly Combat Share Options Fraud
- Hong Kong Accounting and Financial Reporting Council Publishes 2023-24 Annual Report
- Hong Kong Monetary Authority Penalizes Fubon Bank (Hong Kong) Limited for Anti-Money Laundering Failures
- Hong Kong Securities and Futures Commission Concludes Consultation and Publishes Guidelines for Market Soundings Which will Come into Effect on May 2, 2025
Financial Services Regulatory Update 2024/10/25
- Hong Kong Securities and Futures Commission Flags Asset Manager Misconducts in Managing Private Funds and Discretionary Accounts
- Hong Kong Financial Services and Treasury Bureau and Bloomberg Establish Strategic Collaboration to Enhance Hong Kong’s Family Office Ecosystem
- Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Limited Issues Joint Statement on Enhanced Timeframe for New Listing Application Process
- Highlights of the Hong Kong Chief Executive’s 2024 Policy Address
- Hong Kong Securities and Futures Commission Issues Takeovers Bulletin to Remind on Need to Factor in E-Submission System Registration Time and Severe Weather Arrangements
- Hong Kong Accounting and Financial Reporting Council Calls on Auditors and Audit Committees to Strengthen Independence Safeguards around Procurement and Purchases from Audit Clients
- Hong Kong Securities and Futures Commission Welcomes Voluntary Code of Conduct for ESG Ratings and Data Products Providers
- Hong Kong Securities and Futures Commission Implements New Public Fund Depositaries Regime: Key Changes for Hong Kong’s Asset Management Sector
- Hong Kong Securities and Futures Commission Concludes Consultation on Proposals to Enhance Real Estate Investment Trusts Regime and Securities and Futures Ordinance Market Conduct Regime for Listed Collective Investment Schemes
- Hong Kong Standing Committee on Company Law Reform Publishes Annual Report Supporting Paperless Corporate Communication for Hong Kong Companies
- Hong Kong Accounting and Financial Reporting Council Publishes Audit Focus for 2024 Year-end Audits to Remind Auditors of Financial Reporting and Audit Risks
- Hong Kong Monetary Authority Publishes “Half-Yearly Monetary and Financial Stability Report” to Analyze the Current Hong Kong Financial Conditions
- Hong Kong Monetary Authority Publishes “Quarterly Bulletin About Regulatory Regime for Stablecoin Issuers in Hong Kong” Promote the Development of Stablecoins
- Hong Kong Securities and Futures Commission Commences Market Misconduct Tribunal Proceedings Against Dickson Poon
- CSC Futures (HK) Limited and Zheshang International Financial Holdings Co Fined by Hong Kong Securities and Futures Commission for Regulatory Breaches
- Hong Kong Financial Services and Treasury Bureau Publishes Consultation Conclusions on Promoting Paperless Corporate Communication for Hong Kong Companies
Financial Services Regulatory Update 2024/09/26
- Hong Kong Securities and Futures Commission Secures First-of-its-kind Settlement to Compensate Public Shareholders of Combest Holdings Limited
- PRC National Financial Regulatory Administration Issued Notices to Expand the Pilot Scope of Equity Investment in Financial Asset Investment Companies from Shanghai to 18 Cities Including Beijing and Shenzhen and Relaxed Restrictions on the Amount and Proportion of Equity Investment
- Hong Kong Accounting and Financial Reporting Council Emphasizes the Importance of Maintaining the Quality of Cross-Border Audit Services While Noting the Ministry of Finance’s Imposed Administrative Sanctions against Mainland Audit Firm PricewaterhouseCoopers Zhong Tian LLP for its Serious Infractions in the Audit Work on Hengda Real Estate Group Co Ltd.
- Joint Announcement of the Hong Kong Securities and Futures Commission and the Stock Exchange of Hong Kong Limited in Relation to Modifications to Requirements for Specialist Technology Companies and De-SPAC Transactions; Amendments to the Guide for New Listing Applicants Effective on 1 September 2024
- Hong Kong Accounting and Financial Reporting Council’s 2024 Oversight Report Identifies Improvement Areas for the HKICPA to Support the Development of the Accounting Profession
- Hong Kong Securities and Futures Commission Announces Arrangements to Facilitate Distribution of Research Reports of Eligible ETFs under Stock Connect
- Hong Kong Monetary Authority Launches Project Ensemble Sandbox to Promote Tokenization in Hong Kong with Hong Kong Securities and Futures Commission
- Hong Kong Securities and Futures Commission Releases Quarterly Report: Hong Kong Sees a Quarter of Broad Market Growth, Firmer Ties and Regulatory Progress
- Hong Kong Securities and Futures Commission, Hong Kong Independent Commission Against Corruption and Macao Judiciary Police Conduct Joint Operation Against Suspected Cross-Boundary Fraud and Misconduct in Listed Company
- Hong Kong Securities and Futures Commission Releases New Quick Reference Guides for Visiting and Returning Professionals to Highlight Pragmatic Licensing Options
- The Hong Kong Monetary Authority Fines WeChat Pay Hong Kong Limited for Anti-Money Laundering Lapses
- Hong Kong Exchanges and Clearing Limited Introduces Gold Standard’s Verified Emission Reductions
Financial Services Regulatory Update 2024/08/23
- Hong Kong Legislative Council Discusses Waiver of Stamp Duty for Transfer of REIT Units and Jobbing Business of Options Market-makers
- Hong Kong Advances Comprehensive Regulatory Framework for Stablecoin Issuers and Uncertificated Securities Market
- Hong Kong to Enhance Digital Asset Regulation in 18 Months
- Hong Kong Monetary Authority Publishes the Consultation Conclusions on Review of Three-Tier Banking System
- Hong Kong Insurance Authority Inspection Results in Enhancements to Anti-money Laundering Controls and Processes and Fine
- Hong Kong Monetary Authority Issues a Report on Its Review of Virtual Banks
- Hong Kong Securities and Future Commission and Insurance Authority Join Forces to Tackle Cross-sector Irregularities
- The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on a New Phase of Paperless Listing Reforms
- Hong Kong’s Securities and Futures Commission Consults on Proposals to Abolish Mixed Media Offers
- Hong Kong Accounting and Financial Reporting Council and the Supervision and Evaluation Bureau of the Ministry of the People’s Republic of China Enhances Cross-border Regulatory Collaboration to Improve the Effectiveness in Audit Regulation
- The Monetary Authority of Singapore Sets Up Review Group to Strengthen Equities Market Development
- Federal Trade Commission of United States Outlines Remedy Concerns in Amicus Brief After Jury Finds Google Illegally Monopolized App Store