Financial Services Regulatory Update 2023/08/25

  • The Importance of Integrity and Incorruptibility in Hong Kong’s Financial Markets – Insights from Singapore Prime Minister Lee Hsien Loong’s National Day Rally Speech
  • Importance of Prompt Disclosure of Certain Specific Inside Information During Audit Period
  • Hong Kong Securities and Futures Commission Concludes Consultation on Amendments to Enforcement-Related Provisions of the Securities and Futures Ordinance
  • Hong Kong Securities and Futures Commission Publishes Review of The Stock Exchange of Hong Kong Limited’s Performance in Regulating Listing Matters
  • Hong Kong Securities and Futures Commission Welcomes International Organization of Securities Commissions’ Endorsement of New Sustainability Disclosure Standards
  • Hong Kong Exchanges and Clearing Limited Welcomes Further Stock Connect Enhancements between Hong Kong and Mainland China
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Financial Services Regulatory Update 2023/07/22

  • Hong Kong’s New Risk-based Capital Regime and Its Implications to the Insurance Industry
  • Hong Kong Exchanges and Clearing Limited’s New IPO Settlement Platform, FINI, to Launch in October
  • The Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Limited Sign Second Addendum to Memorandum of Understanding Governing Listing Matters
  • The Hong Kong Securities and Futures Commission and the Hong Kong Accounting and Financial Reporting Council join Forces to Combat Misconduct by Listed Issuers
  • Hong Kong Exchanges and Clearing Limited Signs Cooperation Agreement with Beijing Stock Exchange and Ningbo Municipal People’s Government
  • Speech by Tim Lui, Chairman of the Hong Kong Securities and Futures Commission at Law Society of Hong Kong’s Forum Emphasizing Hong Kong’s Unique access to China’s Capital Markets
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Financial Services Regulatory Update 2023/06/23

  • Hong Kong Accounting and Financial Reporting Council Sets out Its Position on Documentation of an Auditor’s Work on “Other Information” Included in the Annual Report of a Listed Entity
  • Hong Kong Exchanges and Clearing Limited Publishes Regulation Newsletter for Listed Issuers : Disclosure of Business Valuations in Transactions
  • Hong Kong Securities and Futures Commission Consults on Revisions to Takeovers and Share Buy-Back Rules
  • Hong Kong Exchanges and Clearing Limited Launches Hong Kong Dollar – Renminbi Dual Counter Model and Dual Counter Market Making Programme
  • Hong Kong Securities and Futures Commission Concludes Consultation on Regulation of Virtual Asset Trading Platforms
  • Hong Kong Securities and Futures Commission Concludes Consultation on the Position Limit Regime
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Financial Services Regulatory Update 2023/05/26

  • The People’s Bank of China, Hong Kong Securities and Futures Commission and Hong Kong Monetary Authority Commences Mutual Access between the Mainland and Hong Kong Interest Rate Swap Markets
  • Hong Kong Exchanges and Clearing Limited Launches Hong Kong Dollar – Renminbi Dual Counter Mode on June 19, 2023
  • The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Enhancement of Climate Disclosure under ESG Framework
  • Hong Kong Securities and Futures Commission and the China Securities Regulatory Commission Hold High-Level Enforcement Cooperation Meeting
  • The Hong Kong Monetary Authority Publishes “AML Regtech: Network Analytics” Report
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Financial Services Regulatory Update 2023/04/21

  • Update on the Launch of Renminbi Counter for Trading of Shares by Hong Kong Exchanges and Clearing Limited
  • Recent Updates on the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
  • Hong Kong Securities and Futures Commission Publishes Quick Reference Guides for Licensing Requirements regarding Family Offices, etc.
  • Hong Kong Securities and Futures Commission Consults on Proposed Subsidiary Legislation for Implementing an Uncertificated Securities Market in Hong Kong
  • The Stock Exchange of Hong Kong Limited Announces New Listing Framework for the Listings of Specialist Technology Companies
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Financial Services Regulatory Update 2023/03/24

  • Implications of the New Mainland Rules for Overseas Listings to Hong Kong Takeover Transactions
  • The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Rule Amendments Following Mainland China Regulation Updates and Other Proposed Rule Amendments Relating to PRC Issuers
  • The Hong Kong Exchanges and Clearing Limited Publishes Enforcement Bulletin to Remind Directors of their Duties to Safeguard the Assets or Interests of Issuers
  • Hong Kong Exchanges and Clearing Limited Publishes an Updated Guide on General Meetings
  • Hong Kong Exchanges and Clearing Limited Publishes Frequently Asked Questions on PRC’s New Filing Requirements for Overseas Listings and Securities Offerings by Mainland companies 118-2023
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Financial Services Regulatory Update 2023/02/24

  • Duties of an Investment Adviser of a Fund – Implications of the Decision of the Hong Kong Securities and Futures Appeals Tribunal in the Cardinalasia Consulting Limited Case
  • Hong Kong Companies Ordinance Amended to Allow Holding of General Meetings by Using Virtual Meeting Technology
  • Hong Kong Securities and Futures Commission Consults on Proposals to Regulate Virtual Asset Trading Platforms
  • Hong Kong Monetary Authority Takes Disciplinary Action Against Westpac Banking Corporation, Hong Kong Branch for Contraventions of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
  • Hong Kong Monetary Authority Issues the Consultation Conclusion to the Discussion Paper on Crypto-Assets and Stablecoins
  • Hong Kong Exchanges and Clearing Limited Issues the Review of Issuers’ Annual Reports in 2022
  • Hong Kong Securities and Futures Commission Reprimands and Fines Jinrui Futures (Hong Kong) Limited HK$4.8 Million and Sanctions its Responsible Officers for Regulatory Breaches
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