Lectures on Hong Kong Listing Rules
How to Avoid an Option to Exit a Joint Venture (with Uncertain Exercise Price) from being Deemed as a Major Transaction Requiring Shareholders’ Approval
Lectures on Listing Rules_20210930_eMonth: September 2021
Hong Kong Licensed Corporations Alert 2021/09/17
- The Stock Exchange of Hong Kong Limited Launches Consultation on Hong Kong’s Special Purpose Acquisition Companies (SPAC) Regime Proposing a Minimum HK$1 Billion Initial Offering, Voting-related Redemption Restrictions and Specific Role of SPAC Licensed Promoter
- Updates on Hong Kong Securities and Futures Commission’s Anti-money Laundering and Counter-Financing of Terrorism Guidelines
- Management Experience Requirements for Responsible Officers and Related Transferability Issues in the Hong Kong Markets
- The Process of Regulation is Subject to Judicial Scrutiny in Open Court – Balancing Interests of Fund Investors and Public Interests in the Case of Christopher James Aarons v. Securities and Futures Commission, SFAT Application No.1 of 2021
Financial Services Regulatory Update 2021/09/03
- Steering Committee on Bond Market Development in Hong Kong Convenes First Meeting – Rethinking Green Finance – Should We Have “Carbon Connect”?
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Coolpad Group Limited (Stock Code: 2369) and Six Former Directors
- Hong Kong Exchanges and Clearing Limited to Launch Derivatives Product on New MSCI China A 50 Connect Index
- Hong Kong Exchanges and Clearing Limited Signs Memorandum of Understanding with Guangzhou Futures Exchange
- The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against a Former Director of Grand Peace Group Holdings Limited (Delisted, previous Stock Code: 8108)
- Hong Kong Exchanges and Clearing Limited to Collaborate with Hong Kong Science and Technology Parks Corporation on Biotech, Fintech Initiatives
- Hong Kong Securities and Futures Commission Concludes Consultation on Climate-Related Risks in Funds
- Hong Kong Securities and Futures Commission Approves the Launch of an A shares Index Futures Contract by the Hong Kong Exchanges and Clearing Limited
- Hong Kong Securities and Futures Commission and Police Conduct Joint Operation Against Listed Company and Senior Executives in HK$450 Million Corporate Fraud Case
- Hong Kong Securities and Futures Commission Alerts the Public of Unauthorized Investment Schemes
- Hong Kong Securities and Futures Commission Suspends Cheung Man Chit for Two Years
- U.S. Federal Court Orders Multi-Million Dollar Ponzi Scheme Fraudster Permanently Banned from Trading and Registering with U.S. Commodity Futures Trading Commission
- U.S. Commodity Futures Trading Commission Orders a Man to Pay US$150,000 for Registration Violation and Violations of Commodity Pool Operator Regulations
- U.S. Federal Court Orders a Man and Two Companies to Pay Over US$15.6 Million for Forex Fraud and Registration Violations
- U.S. Commodity Futures Trading Commission Amends Existing Brexit-Related Relief to Provide Market Certainty
- U.S. Securities and Exchange Commission Announces Three Actions Charging Deficient Cybersecurity Procedures
- U.S. Securities and Exchange Commission Requests Information and Public Comment on Matters Related to the Use of Digital Engagement Practices by Broker-Dealers and Investment Advisers
- U.S. Securities and Exchange Commission Charges Global Crypto Lending Platform and Top Executives in US$2 Billion Fraud
- U.S. Securities and Exchange Commission Charges Underwriter and Its Former CEO With Misconduct In Muni Bond Tender Offer
- U.S. Securities and Exchange Commission Charges Healthcare Services Company and CFO for Failing to Accurately Report Loss Contingencies as part of Continuing Earnings Per Share Initiative
- Shenzhen Stock Exchange Solicits Opinions on the Revision of the Implementation Rules on the IPO Stock Issuance and Underwriting Business on the ChiNext Board
- Shanghai Stock Exchange Solicits Public Opinions on the Revision of Business Rules related to the Issuance and Underwriting of Shares on the STAR Market
- Singapore Exchange Securities Trading Limited Listings Disciplinary Committee Reprimands Astaka Holdings Limited, its Present Executive Director and Former CEO Zamani Bin Kasim, and its Former CFO Lee Shih Yi
- Singapore Exchange Regulation Charts the Way Forward on Mandatory Climate Reporting, Wants Board Diversity Disclosures
- Australian Securities and Investments Commission Consults on Payment for Order Flow Rule Amendments
- Australian Securities and Investments Commission Publishes Corporate Plan 2021-25
- The Financial Conduct Authority of the United Kingdom Warns Insurance Firms over Product Governance Rules Deadline
- The Financial Conduct Authority of the United Kingdom Reminded Firms about Potential Financial Crime Risks linked to Afghanistan