The updates include an information paper on implementing an uncertificated securities market, and a joint announcement on an enhanced timeframe for a new listing application process....more
11/22/2024
/ Compliance ,
Consultation ,
Corporate Governance ,
Disclosure Requirements ,
Enforcement Actions ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Hong Kong Stock Exchange ,
Joint Statements ,
Listing Rules ,
Prospectus ,
Publicly-Traded Companies ,
Takeover Code
The updates include a report from the Stock Exchange of Hong Kong Limited on review of issuers’ annual reports, a summary of private reprimands, and disciplinary actions....more
4/23/2024
/ Board of Directors ,
Conflicts of Interest ,
Corporate Governance ,
Corporate Issuers ,
Corporate Officers ,
Disciplinary Proceedings ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Reporting ,
Hong Kong ,
Hong Kong Stock Exchange ,
Internal Controls ,
Listing Standards ,
Regulatory Oversight ,
Regulatory Requirements ,
Stock Exchange
Sponsors should maintain best practices in IPO engagements in light of increased enforcement action and regulatory scrutiny from the SFC.
Key Points:
..In March 2019, the Hong Kong securities regulator, the Securities...more
The Court of First Instance’s decision has important implications for directors of listed companies when failing to act in the best interests of the company.
Background -
On July 15, 2015, the Securities and Futures...more