Newsletter Hong Kong Law May 2014 PDF version Word version SFC Reprimands and Fines ICBCI and Deutsche Bank Introduction ICBCI Failures in Relation to their Role in Powerlong IPO Deutsche Bank Regulatory Breaches and Internal Control Failings Introduction The...
Newsletter Hong Kong Law May 2014 PDF version Word version Exchange Publishes Further Information on Shanghai-Hong Kong Stock Connect Investor and Participant Eligibility Trading Arrangements Eligible Stocks Quotas (on a “Net Buy” Basis) Price Limits...
Newsletter Hong Kong Law May 2014 PDF version Word version Exchange Issues Guidance on Opinion Letters Prepared By Independent Financial Advisers Introduction A) Applicable Listing Rules B) Guidance Introduction The Hong Kong Stock Exchange (the Exchange) has...
Newsletter Hong Kong Law May 2014 PDF version Word version SFC Issues Notice on Risks and Potential Regulatory Issues of Crowd-Funding Introduction What is “crowd-funding”? Potential application of relevant securities laws and regulations Potential...
Newsletter Hong Kong Law April 2014 PDF version Word version HKEx to Launch its First Asia Commodities Contracts Basic market information Key contract specifications Hong Kong Exchanges and Clearing Limited (HKEx) announced yesterday, 22 April 2014, that it plans to...
Newsletter Hong Kong Law April 2014 PDF version Word version FSTB Consults on Open-ended Fund Company Structure Introduction Proposals 1. Legal Framework 2. Regulators 3. Legal Structure 4. Formation and Incorporation 5. Administration and Operation 6. Protected Cells...
Newsletter Hong Kong Law April 2014 PDF version Word version Exchange Reviews Disclosure in Annual Reports to Monitor Rule Compliance A. Fund raising activities through issue of equity or convertible securities B. Updates on material changes after acquisitions C....
Newsletter Hong Kong Law April 2014 PDF version Word version Linking of Shanghai and Hong Kong Stock Exchanges Framework of the Shanghai-Hong Kong Stock Connect 1. Operation of the Shanghai-Hong Kong Stock Connect 2. Permitted Share Trading 3. Eligible Shares 4....
Newsletter Hong Kong Law April 2014 PDF version Word version Exchange Publishes New Guidance on Placing Shares to Connected Clients for Independent Third Parties The Superseded Listing Decision Relevant Rules New Guidance The Exchange has published guidance letter...
Newsletter Hong Kong Law April 2014 PDF version Word version Revised Connected Transaction Rules Take Effect 1 July 2014 Key Listing Rule Changes I. Amendments to Connected Transaction Rules II. Amendments to Definitions of Connected Person and Associate The Stock...
