Insights
YEAR
2024
Overview of the SFC’s Code on Takeovers and Mergers
Charltons Retrospective 2024
SFC’s Bookbuilding Conduct Requirements and the related HKEX Listing Rule requirements
Hong Kong Regulation of Virtual Asset Trading Platforms
HKEX Treasury Shares Regime and Proposed Company Re-domiciliation Regime in Hong Kong
Listing Mineral Companies on the HKEX
Proposed Licensing Regimes for Virtual Asset OTC Services and Stablecoin Issuers
HKEX Consultation on Changes to Corporate Governance Code and Listing Rules
2024 Insider Dealing in Hong Kong – Overview & Update
Listing Biotech companies on the HKEX
Listing SPACs on the HKEX
Hong Kong Trusts
Hong Kong Funds
Hong Kong Family Offices
YEAR
2023
Hong Kong Regulation of Virtual Assets Trading Platforms
Insider Dealing in Hong Kong – Overview & Update 2023
HKEX Consultation Paper on GEM Listing Reforms
Regulatory Landscape for Web3 & Digital Assets – a Global & GCC Perspective
Regulatory Clarity in Asia’s Crypto Hubs: Hong Kong and Singapore
SFC Consultation on Proposed Amendments to the Codes on Takeovers and Mergers and Share Buy-Backs
Overview of Hong Kong VASP Licensing & SFC Consultation Conclusions on Regulatory Requirements for SFC Licensed Crypto Exchanges
Overview of the legal systems of Abu Dhabi, Dubai and Hong Kong
SFC Consults on Proposed Regulatory Requirements for Hong Kong Licensed Virtual Asset Trading Platform Operators
HKEX and SFC Disciplinary & Enforcement Actions between May and August 2022 – part 2
HKEX and SFC Disciplinary & Enforcement Actions between January and April 2022 – part 1
YEAR
2022
Listing Asian companies on Aquis
Listing Opportunities on Nasdaq Dubai
2022 Virtual Asset (Crypto) Service Providers & Dealers in Precious Metals & Stones: Hong Kong’s New Regulatory Regimes
2022 SFC Bookbuilding Conduct Requirements – HKEX Listing Rules & Transitional Arrangements
2022 Insider Dealing in Hong Kong – Overview & Update
Listing Pre-Revenue Biotech Companies
Listing Mineral Companies
Disclosure of Interests
Crypto licensing regime in the UAE webinar
Webinar 3 of Hong Kong Crypto Regulation Webinar Series 2022
Webinar 2 of Hong Kong Crypto Regulation Webinar Series 2022
Webinar 1 of Hong Kong Crypto Regulation Webinar Series 2022
Webinar on the HKEX’s New Listing Regime for Overseas Issuers
Webinar on the HKEX’s proposed Listing Rule changes for listed company share schemes
Webinar on the HKEX new listing regime for SPACs
What to expect from the Chinese economy in 2022
Webinar on STOs in Hong Kong
YEAR
2021
Webinar on SFC Consultation Conclusion on Bookbuilding and Placing Activities and Sponsor Coupling
Webinar on HKEX Consultation Paper on SPACs
Fund structures
Julia Charlton on Introduction to Hong Kong’s role in the Greater Bay Area
HKEX Listing Rule Changes on Disciplinary Powers and Sanctions
Cryptocurrency Funds and Virtual Assets in Hong Kong and Cayman
Webinar on China’s Greater Bay Area: Exploring Key Sectors for Direct Investment and M&A
COVID-19 Vaccination. What are you waiting for? | Presentation by Dr James H B Kong
Panel on Fundraising landscape for tech companies Hong Kong from series A to IPO — hot industries, perspectives
Panel on Service provider insights – legal system, tax regime, immigration opportunities for rising talents and entrepreneur
Webinar on HKEX Consultation Paper on the Listing Regime for Overseas issuers
Response to the SFC Consultation Paper on (i) the Proposed Code of Conduct on Bookbuilding and Placing Activities in Equity Capital Market and Debt Capital Market Transactions and (ii) the “Sponsor Coupling” Proposal
Webinar on SFC’s consultation on a proposed Code of Conduct for Hong Kong Bookbuilding and Placing Activities and Proposal on Sponsor Coupling
New Listing Rules – Biotech
Establishing Investment Funds in Hong Kong
Telecommunications Infrastructure M&A Activity Asia Pacific
Webinar on HKEX Consultation Paper on The Review of Corporate Governance Code and Related Listing Rules
Charltons presented webinar on SFC Consultation on Proposed Code of Conduct on Bookbuilding and Placing Activities and Proposal on Sponsor Coupling
Webinar 3 – Financial distress and restructuring (issues for consideration for Hong Kong listed issuers) of webinar series on Insolvency, restructuring & recovery
Webinar on Fundamentals of funds in Cayman and Hong Kong
On 26 March 2021, Julia Charlton moderated a virtual roundtable on Listing in London
Webinar 2 – Restructuring options of webinar series on Insolvency, restructuring & recovery
Webinar 1 – Financial distress: identification, liabilities and relief of webinar series on Insolvency, restructuring & recovery
On 26 February 2021, Charltons presented Webinar 7 of Charltons Online Crypto Regulation Forum
On 19 February 2021, Charltons presented Webinar 6 of Charltons Online Crypto Regulation Forum
On 5 February 2021, Charltons presented Webinar 5 of Charltons Online Crypto Regulation Forum
BritCham HK’s webinar on the Role of outside advisers
On 29 January 2021, Charltons presented Webinar 4 of Charltons Online Crypto Regulation Forum
Webinar on The HKEX profit requirement proposals – consultation on the Main Board profit requirement
On 22 January 2021, Charltons presented Webinar 3 of Charltons Online Crypto Regulation Forum
On 15 January 2021, Charltons presented Webinar 2 of Charltons Online Crypto Regulation Forum
Response to the HKEX Consultation Paper on the Main Board Profit Requirement
On 08 January 2021, Charltons presented Webinar 1 of Charltons Online Crypto Regulation Forum
YEAR
2020
Charltons presented webinar on The HKEX profit requirement proposals – consultation on the Main Board profit requirement
Webinar on HKEX’s listing biotech (3rd section) and mineral companies
Webinar on HKEX: Secondary Listing of “innovative” companies and listing biotech companies (1st section)
Julia Charlton authors chapter on “The Value of External Advisers” in the HKEX’s December 2020 publication: “Making inroads into good Corporate Governance and ESG management”
Webinar on HKEX – Listing WVR structured companies
Force majeure concept under Russian civil law and Myanmar common law
International Forum «Volgograd dialogue» | Hong Kong – super connector in Belt and Road Initiative
On 31 August 2020, Charltons presented Part V: Corporate Governance Code and the Takeovers Code of a Webinar Series on Responsibilities of HKEx-listco Directors
On 29 August 2020, Charltons presented Part IV: Connected transactions of a Webinar Series on Responsibilities of HKEx-listco Directors
On 28 August 2020, Charltons presented Part III: Notifiable transactions of a Webinar Series on Responsibilities of HKEx-listco Directors
On 26 August 2020, Charltons presented Part II: Disclosure requirements of listed companies and directors of a Webinar Series on Responsibilities of HKEx-listco Directors
On 24 August 2020, Charltons presented Part I: Directors’ duties and liability for breaching Listing Rule Obligations of a Webinar Series on Responsibilities of HKEx-listco Directors
Impact of HKEx Listing Reforms of 2018
Webinar on Legal Developments in Myanmar amid-COVID-19
Webinar on Exchange Listings of Myanmar Business: the Options
Webinar on Microfinance and Fintech in Myanmar amid COVID-19
The licensing regime in Hong Kong
Bonds issues in Hong Kong
CPD Seminar on Insider Dealing under the SFO
Webinar on the Impact of COVID-19 on Labour-intensive Industry in Myanmar
Charity Governance in Hong Kong
The establishment of operations in Hong Kong
YEAR
2019
Secondary Listing Innovative Chinese Companies on HKEx
Secondary Listing Innovative Chinese Companies on HKEx
HKIAC Approved as Arbitration Venue for Russian Deals
Hong Kong approved as arbitration venue for Russian deals
SFC Imposes Record Fines for Sponsor Failures
Securities and Futures Commission Imposes Record Fines for Sponsor Failures
HKEx Listing Rule Amendments Take Effect on 1 March 2019
HKEx Listing Rule Amendments Take Effect on 1 March 2019
First virtual banking licences issued in Hong Kong
First virtual banking licences issued in Hong Kong
The Connected Transaction Rules of the Hong Kong Stock Exchange (Main Board)
Hong Kong Consults on Paperless Securities Market
Hong Kong Consults on Paperless Securities Market
SFC Statement on Security Token Offers
Statement on Security Token Offerings Published by Hong Kong’s SFC
Hong Kong’s Progress towards a Paperless Securities Market
YEAR
2018
New Hong Kong Corporate Fund Regime to Take Effect 30 July 2018
New Open-ended Fund Company Regime Effective 30 July 2018
SFC Outlined Market Regulation Approach and Fined Citigroup
SFC’s front-loaded regulatory approach
Virtual Bank Authorization: HKMA Issues New Guideline
Hong Kong issues new guideline on virtual bank authorization
Consultation Conclusions on WVR Listings and Concessionary Route to Secondary Listing
New Rules Listing Biotech Companies on the Hong Kong Stock Exchange
SFC and CSRC increase daily quotas for Mainland-Hong Kong stock connect
Mainland-Hong Kong stock connect quota increases
Continued deficiencies in sponsor work identified by SFC
Consultation Conclusions on WVR Listings
WVR/Dual Class Listings on HKEX
Chengdu TV – Looking West to Chengdu – Issue 130 – New cooperation trend between Chengdu and Hong Kong on the Belt and Road Initiative
YEAR
2017
Licensing for commodities related activities
Chapter 21 listings
Initial public offering – Listing on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited
Listing exchange traded funds (ETFs) on the Stock Exchange of Hong Kong Limited
SFC and SEHK impose new requirements for GEM placings
New Requirements for GEM Placings
The Licensing Regime under The Securities and Futures Ordinance
Belt and Road Initiative and Hong Kong
Belt and Road and Hong Kong
YEAR
2016
Presentation on Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect Update: A New Chapter in Connecting International and Chinese Investors
Speech on Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect Update
International capital raising and Myanmar’s mining sector
Introduction to listing of publicly offered debt securities in Hong Kong
Listed company guide to inside information
Environmental social and governance reporting guide for companies listed on the HKEx
Private placement of bonds
China’s NDRC to simplify outbound investment rules
Listing Russian companies in Hong Kong
Listing Russian companies on the HKEx
Overview of listing on the Main Board of the HKEx
Initial public offering – Listing on the Stock Exchange of Hong Kong Limited
Hong Kong crowd funding and the associated risks
Listing of funds in Hong Kong
Developing sustainable strategic partnerships in Myanmar mining industry
Responsibilities of directors of companies listed on the Main Board of the Stock Exchange of Hong Kong Limited
Outline of responsibilities of directors of GEM listed companies
Responsibilities of directors of companies listed on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited
Sketch of directors’ duties for HKEx’s listed companies
GEM listed companies – directors’ duties
Directors’ duties for HKEx Main Board listed companies
Overview of responsibilities of directors of companies listed on the Main Board of The Stock Exchange of Hong Kong Limited
Overview of responsibilities of directors of companies listed on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited
2015 Myanmar Mines Law
HKEx Paves the Way for Russian Companies to List in Hong Kong
Hong_Kong stock exchange paves way for listing of Russian companies
New Open-Ended Fund Company Structure for Hong Kong Funds to be Introduced Under the Securities and Futures (Amendment) Bill 2016
New Open-Ended Fund Company Structure for Hong Kong Funds to be Introduced Under the Securities and Futures Bill 2016
YEAR
2015
Charltons to Participate in 2015 Hike for Hong Kong
Listing mainland companies in Hong Kong
Shanghai-Hong Kong Stock Connect
Regulation of crowd funding in Hong Kong
Hong Kong crowd-funding regulation
Hong Kong regulation of crowd funding
Mainland-Hong Kong Mutual Recognition of Funds Initiative to launch on 1 July 2015: Hong Kong distribution opportunities for China funds
Hong Kong distribution of China funds
Financial Services Development Council publications on potential improvements to Hong Kong’s financial services industry regulation
Hong Kong corporate finance regulation 2014 and 2015 – IPO sponsor due diligence regime update
ESG reporting guide
The connected transactions rules in Hong Kong
Hong Kong listing rules: connected transactions
China’s film industry
Russian companies listing on the Hong Kong Stock Exchange
Opportunities for Russian companies to raise debt finance in Hong Kong
Listing of debt securities for professional investors on The Stock Exchange of Hong Kong Limited
Listing debt securities to professionals
Overview of listing mineral companies in Hong Kong
Detailed analysis of listing mineral companies on the Hong Kong Stock Exchange
Charltons staff complete Ultra Skymarathon
Listing exchange traded funds on the HKEx
Doing business in China and Hong Kong – key issues for Russian companies to consider
Listing international companies in Hong Kong – 2015 update
Charltons CNY greetings 2015
Listing International Companies on the Hong Kong Stock Exchange in 2015
Charltons CNY greetings
The 10 most important things to know about the new Foreign Investment Law in China
The 10 most important things to know about China’s new Foreign Investment Law
Hong Kong Stock Exchange’s Listing Decision on controlling shareholders’ post-IPO lock-up restrictions
Hong Kong – China mutual recognition of funds scheme nears implementation
Hong Kong – China mutual recognition of funds scheme
Execution of documents at virtual signings and closings
Document execution at virtual signings and closings
Listing international companies on the Hong Kong Stock Exchange: 2015 Update
Doing business in China and the Hong Kong SAR: Key issues for Russian companies to consider
SFC’s powers to seek compensation for investors
Disclosure of interests under the Securities and Futures Ordinance
Requirements for disclosure of interests in HK-listed stocks
2014 & 2015 Hong Kong regulatory changes
Hong Kong corporate finance regulation 2014 and 2015 – IPO sponsor due diligence update
SFC proceedings over research report
SFC Starts Market Misconduct Proceedings over Alleged False Research Report
YEAR
2014
Standards of sponsor due diligence for Hong Kong IPOs
Outline of listing mineral companies on the HKEx
Overview of listing on the GEM market
Corporate Finance and Commercial Law
Hike for Hong Kong
Listing overseas companies on the HKEx
Listing overseas companies on the Stock Exchange of Hong Kong Limited
Listing mineral companies in Hong Kong
A Hong Kong corporate finance law firm
Spin-off
Structuring a fund for European marketing
Fund structures- the options
Fund structures
Structuring a private equity fund to be marketed in Europe
HKEx’s weighted voting rights concept paper
Hong Kong Stock Exchange’s weighted voting rights concept paper
Setting up financial institutions in China
How does a foreign investor set up a financial institution in the PRC?
Shanghai-Hong Kong Stock Connect
Establishment of operations in Hong Kong
Offering shares to employees in Hong Kong
Regulatory implications of offering securities to employees in Hong Kong
Ongoing compliance matters for a licensed corporation to carry out certain regulated activities
SFC licensing- the ongoing requirements
Licensing intermediaries in Hong Kong
Updated SFC Licensing Requirements – Managers-in-Charge of Core Functions
Overview of listing PRC companies in Hong Kong using VIE structures
Pre-IPO investments
Pre-IPO investments – the Hong Kong pitfalls
Listing PRC companies in Hong Kong using VIE structures
Spin-off of wholly owned subsidiary of a Hong Kong listed company
Hong Kong Stock Exchange publishes concept paper on weighted voting rights
Comparative guide to listing in the UK, the US and Hong Kong
Listing PRC companies in Hong Kong
Requirements for an offering and listing in the U.K., U.S. or Hong Kong
Listing PRC companies on the HKEx
Introduction to Listing on the Main Board of the Hong Kong Stock Exchange
Introduction to listing on the Main Board of the Hong Kong Stock Exchange
The 10 Most Important Things to Know About RTOs of HK Listed Companies
Hong Kong investment opportunities
Hong Kong: Investment opportunities, conducting business and the legal system
Insider dealing laws in Hong Kong
Prospectus liability in Hong Kong
Potential liabilities under Hong Kong Law in connection with the publication of a prospectus on the listing of a company on the Stock Exchange of Hong Kong
The Hong Kong Code on Takeovers and Mergers
Hong Kong takeovers code
The Hong Kong Code on Takeovers and Mergers
The Listing Rules’ requirements for reverse takeovers of Hong Kong listed companies
The 10 most important things to know about reverse takeovers (RTOs) of Hong Kong listed companies
Insider dealing under the Securities and Futures Ordinance
Hong Kong listing rules amendments changes to the connected transaction rules
Listing on the GEM of the Hong Kong Stock Exchange
Key points of Hong Kong takeovers regime
Marketing shares of overseas companies in Hong Kong
Key changes introduced by Hong Kong’s 2014 company law
Listing requirements – Hong Kong vs. Singapore
Comparison of GEM and second board of Singapore on listing, transfer and spin-off requirements
Mutual fund marketing in Hong Kong
Reverse takeovers – The Hong Kong environment
Obligations of directors of the offeror under the Code on Takeovers and Mergers
Listing on the HKEx’s GEM board
Directors’ guide to Hong Kong Takeovers Code
Key changes under the 2014 Hong Kong Companies Ordinance
Hong Kong 2014 company law
Key changes under the Companies Ordinance (Cap. 622)
Marketing mutual funds in Hong Kong
Marketing non-corporate funds in Hong Kong
Marketing by an overseas company of shares in Hong Kong
Listing PRC companies on the Hong Kong Stock Exchange
Listing Chinese companies on the HKEx
Market misconduct under the Securities and Futures Ordinance
Market misconduct laws
Rights issue and open offer in Hong Kong
Private equity and venture capital practice
Private equity and venture capital
Charltons’ funds practice
Funds
Overview of SFC licensing for commodities related activities
Regulatory framework and investment in petroleum exploration and development projects in Myanmar
Setting up a Hong Kong charity
Setting up a charity in Hong Kong
Introduction to the listing of H shares of PRC companies on the Stock Exchange of Hong Kong Limited (the “Main Board”)
An overview of reverse takeovers
Backdoor listing
H shares listings in Hong Kong
YEAR
2013
The 10 most important things to know about listing a mineral company on The Stock Exchange of Hong Kong Limited (“HKEx”)
10 most important things about listing a mineral company on HKEx
Disclosure of price sensitive information – the Hong Kong regime
The statutory regime for listed companies’ disclosure of inside information
New regulatory regime for IPO sponsors
The regulatory regime for IPO sponsors in Hong Kong
Our ongoing legal advisory services
Annual retainer services
Statutory regime for the disclosure of price sensitive information – the Implications for listed companies and their directors
Listing in Hong Kong by way of HDRs
Doing business in Myanmar
Introduction to doing business in Myanmar
10 most important things about SFC licensing for commodities raleted activities
The 10 most important things to know about Hong Kong SFC licensing for commodities related activities
Thumbnail sketch of SFC licensing for intermediaries
Mergers and acquisitions
Mergers and acquisitions
Mineral policies and investment in Myanmar’s mining sector
Advising mining companies in Myanmar
Advising oil and gas companies in Myanmar
YEAR
2012
YEAR
2009
YEAR
2007
YEAR
2006
Proposals for the reform of the Companies Ordinance prospectus regime
HKEx publishes research on overseas experience of growth company markets
HKEx publishes research on the development and operation of the Growth Enterprise Market
HKEx publishes research on the Singapore dimension of HKEx’s markets
HKEx publishes research on the Taiwan dimension of HKEx’s markets
Recent developments in the regulation of sponsors in Hong Kong
The route to AIM
Comments on the Stock Exchange’s discussion paper on the Growth Enterprise Market
YEAR
2005
The Code on Corporate Governance Practices and the corporate governance report
Recent developments in the regulation of Hong Kong sponsors
Amendments to the Codes on Takeovers and Mergers and Share Repurchases effective 1 October 2005
Summary of requirements for listing closed-ended funds
Guidelines on analyst conflicts of interest effective 1 April 2005
A guide for the effective board
Amendments to the Listing Rules: Amendments relating to sponsors and IFAs effective 1 January 2005 and amendments relating to continuing obligations effective 30 March 2004
YEAR
2004
YEAR
2003
Aspects of the Securities and Futures Ordinance: disclosure of Interests, insider dealing, regulation of offers of investments, market misconduct and the stabilisation rules
Guidelines on corporate governance for SMEs in Hong Kong
Hong Kong securities law and listing rules
Recent developments in corporate governance in Hong Kong and the PRC
The establishment of operations in Hong Kong and Shenzhen
The establishment of operations in Shenzhen
Introduction to the listing of PRC Companies on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited
YEAR
2002
Hong Kong – the facts
Brief introduction to the consultation paper on proposed amendments to the Listing Rules relating to initial listing eligibility and cancellation of listing procedures
Guidance to the Securities and Futures Ordinance, Cap. 571
Listing on the Hong Kong Stock Exchange – document list
YEAR