2024 |
|---|
| 26 April | HKEX Disciplinary Actions in Q1 2024 |
| 25 April | HKEX Listing Rule Amendments Allowing Treasury Shares Effective 11 June 2024 |
| 11 April | SFC Warns Public of Allegedly Fraudulent Crypto-related Activities |
| 26 February | FSTB Consults on Regulating OTC Virtual Asset Trading |
| 9 January | SFC issues guidance for tokenisation of SFC-authorised investment products and intermediaries engaging in Hong Kong tokenised securities-related activities |
2023 |
|---|
| 7 December | FSTB Consults on Paperless Corporate Communication for Hong Kong Companies |
| 1 December | HKEx Publishes Analysis of Corporate Governance Practice Disclosure of Listed Companies |
| 24 November | HKEX Introduces New Exemption to “Double Dipping” Restrictions |
| 24 November | HKEX Postpones Proposed Implementation Date for Climate Change Disclosures |
| 20 November | SFC Consults on Market Sounding Guidelines |
| 18 November | HK Takeovers & Share Buy-backs Codes Amended 29 September 2023 |
| 14 November | HKEX Consults on Listing Rules Relating to Treasury Shares |
| 25 October | The Hong Kong Chief Executive’s 2023 Policy Address |
| 5 October | Hong Kong Police Arrest Suspects in JPEX Scandal |
| 29 September | HKEX Consults on GEM Listing Reforms |
| 27 September | HKMA Publishes 2023 Fintech Promotion Roadmap for Hong Kong |
| 15 September | HKEX to Expand Paperless Listing Regime from 31 December 2023 |
| 30 August | HONG KONG EXTENDS INSIDER DEALING REGIME'S TERRITORIAL REACH TO COVER OFFSHORE SECURITIES & DEALING |
| 16 August | SFC Warns Unlicensed Crypto Exchanges re. Improper Conduct |
| 8 August | SFC/ HKMA New Suitability Obligations for Sophisticated Professional Investors |
| 4 August | HKEX Listing Rule Changes for PRC Issuers Effective 1 August 2023 |
| 26 July | Hong Kong Needs a Vibrant SME Fundraising Board, says SFC’s Julia Leung |
| 24 July | HKEX's Fast Interface for New Issuance (FINI) Platform to Launch October 2023 |
| 19 July | Charltons Responds to HKEX Consultation on Mandatory Climate Disclosures in ESG Reports |
| 13 July | HKMA Urges Banks to Provide Banking Services to Virtual Asset Service Providers |
| 5 July | HKEx Issues 8th Listed Issuer Regulation Newsletter |
| 20 June | Hong Kong Monetary Authority commences e-HKD Pilot Programme |
| 19 June | SFC Consults on Amending the Codes on Takeovers and Mergers and Share Buy-backs |
| 9 June | SFC Circular on Implementing New Licensing Regime for Virtual Asset Trading Platform Operators |
| 3 June | FSTB Consults on Company Re-domiciliation Regime for Hong Kong |
| 31 May | Hong Kong SFC Finalises Regulation of Virtual Asset Trading Platforms |
| 25 May | New Type 13 Regulated Activity to Take Effect 2 October 2024 |
| 15 May | HKEX Consults on Mandatory Climate Disclosures in ESG Reports |
| 19 April | HKEX Publishes March 2023 Enforcement Bulletin with Focus on Disclosure |
| 14 April | SFC Issues New Guidance for H Share Issuers |
| 13 April | New HKEX Listing Regime for Specialist Technology Companies Launches 31 March 2023 |
| 27 March | HKEX Publishes Consultation Conclusions on New Listing Regime for Specialist Technology Companies |
| 20 March | HKEX Reports on Global Carbon Markets and the Opportunities for Hong Kong |
| 15 March | HKEX Consults on Listing Rule Amendments for PRC Issuers |
| 27 February | Hong Kong SFC Consults on Proposed Regulatory Requirements for Hong Kong’s new Virtual Asset Service Provider Regime |
| 20 February | HKEx Issues 7th Listed Issuer Regulation Newsletter |
| 15 February | HK Companies Ordinance to Allow Fully Virtual & Hybrid General Meetings |
| 13 February | HKMA to Adopt Licensing Regime for Stablecoins in 2023/24 |
| 19 January | FSTB Consults on Expanding Hong Kong Crowdfunding Regulation |
| 10 January | Hong Kong and Mainland China to Expand Stock Connect |
| 9 January | HKEX Consults on Expanding the Paperless Listing Regime |
2022 |
|---|
| 30 December | Hong Kong’s foreign source income exemption regime for passive income effective 1 January 2023 |
| 30 December | Hong Kong Legislative Council delays the Implementation Timetable of the Hong Kong Virtual Asset Service Provider Regime and the Hong Kong Securities and Futures Commission Statement on Virtual Assets |
| 15 December | New Equity Capital Market Urgently Needed in Hong Kong |
| 7 December | SFC and CSRC Hold High-Level Enforcement Cooperation Meeting |
| 7 December | HKEx and SFC Disciplinary Actions of October 2022 |
| 1 December | SFC Practice Note 24: Receivers, Liquidators and Commencement of Offer Periods |
| 14 November | SFC Circular on Virtual Asset Futures Exchange Traded Funds |
| 10 November | HKEx Issues Revised Enforcement Sanctions Statement and New Cooperation Guidance |
| 3 November | HK Government issues Policy Statement on development of Virtual Assets in Hong Kong |
| 31 October | HKEx, SFC and HKMA Disciplinary Actions in September 2022 |
| 27 October | HKMA’s AML Regtech Lab Series under Fintech 2025 |
| 24 October | Court Orders Sound Global Chairman to Purchase Shares from Investors |
| 23 October | HKEX Consults on New Listing Regime for Specialist Technology Companies |
| 18 October | HKMA Issues Position Paper on e-HKD |
| 17 October | SFC Issues Takeovers Bulletin No. 62 |
| 10 October | SFC circular to licensed corporations on review of online brokerage, distribution and advisory services in Hong Kong |
| 19 September | HKEx, SFC & HKMA Disciplinary Actions August 2022 |
| 8 September | SFC welcomes Central Government support for the enhancement of Hong Kong's IFC status |
| 7 September | Hong Kong’s proposed foreign source income exemption regime for passive income |
| 5 September | Swap Connect Development Jointly Announced by People’s Bank of China, Hong Kong Securities and Futures Commission, and Hong Kong Monetary Authority |
| 19 August | HKEx Updates on Climate Disclosure Standards |
| 17 August | HKEx Concludes on Proposed Amendments to Listing Rules Relating to Share Schemes of Listed Issuers and Housekeeping Rule Amendment |
| 15 August | HKEx and SFC Disciplinary Actions June and July 2022 |
| 22 July | Hong Kong Registration Regime for Dealers in Precious Metals and Stones to Take Effect on 1 January 2023 |
| 22 July | HKEx and SFC Disciplinary Actions in May 2022 |
| 18 July | SFC Proposes Significant Amendments to SFO Enforcement Regime |
| 9 July | Hong Kong Licensing Regime for Virtual Asset Exchanges to Take Effect on 1 March 2023 |
| 30 June | ETF Trading Under Stock Connect to Commence 4 July 2022 |
| 23 June | SFC and HKEx Disciplinary Actions in April 2022 |
| 10 June | ETFs to be included in Hong Kong-China Stock Connect |
| 3 May | HKEx Listing Rule Amendments reflect New SFC Code of Conduct Provisions for Issuers and Intermediaries involved in Bookbuilding and Placing Activities |
| 28 April | SFC Releases End-To-End Test Packages and File Transfer Connectivity Guide for the Hong Kong Investor Identification Regime |
| 21 April | HKEx and SFC Disciplinary Actions in March 2022 |
| 1 April | First SPAC Lists on HKEX under New SPAC Listing Regime |
| 22 March | U.S. President Issues Executive Order on Digital Asset Regulation |
| 8 March | Recent HKEx and SFC Disciplinary Actions |
| 3 March | SFC Enforcement Actions in January and February 2022 |
| 22 February | HKEX update on timing relief for HKEX listed issuers for the publication of 2021 preliminary financial results |
| 21 February | HKEX and SFC Disciplinary Actions in November to December 2021 |
| 9 February | SFC and HKMA Issue Joint Circular on Intermediaries’ Virtual Asset-related Activities |
| 3 February | HKMA Issues Proposals for Regulating Payment-related Stablecoins |
| 27 January | test newsletter |
| 19 January | HKEX’s New Listing Regime for Overseas Issuers Effective 1 January 2022 |
| 7 January | HKEX Corporate Governance Code and Listing Rule Changes Effective 1 Jan 2022 |
2021 |
|---|
| 23 December | Overview of HKEX’s New SPAC Listing Regime |
| 17 December | HKEX Publishes Consultation Conclusions on Hong Kong SPACs |
| 16 December | SFC Releases Consultation Conclusions on the Proposed Code of Conduct on Hong Kong Bookbuilding and Placing Activities and HKEx Sponsor Coupling |
| 23 November | Hong Kong ICAC charges 4 individuals with conspiracy to defraud over “backdoor listing” of a listed company and money laundering |
| 18 November | SFC’s Julia Leung Gives Update on Hong Kong Crypto Regulation |
| 11 November | Hong Kong SFC Fines IPO Sponsors for Due Diligence Failures |
| 2 November | Charltons on behalf of 7 corporate finance firms responds to HKEX SPAC Consultation |
| 6 October | HKEX Issues Consultation Paper on SPACs |
| 9 September | Singapore Exchange Introduces SPAC Listing Framework |
| 1 September | SFC Publishes Q2 2021 Report |
| 24 August | SFC Concludes on Hong Kong Investor Identification Regime and OTC Securities Transactions Reporting Regime |
| 9 August | FINI - HKEX's New IPO Settlement Platform to Implement T+2 IPO Settlement Timetable |
| 5 July | SFC to Upgrade Competency Standards for Licensed Intermediaries and Individuals from 1 January 2022 |
| 28 June | Implementation of Hong Kong-Thailand Mutual Recognition of Funds Scheme |
| 22 June | FSTB Concludes Consultation on Registration Regime for Dealers in Precious Metals and Stones |
| 16 June | Court Rejects Judicial Review Application to Challenge HKEX Delisting |
| 7 June | HKEx Listing Rule Changes on Disciplinary Powers and Sanctions effective 3 July 2021 |
| 2 June | SFC and HKEX Issue Joint Statement on IPO-related Misconduct |
| 31 May | HKEX to Raise Main Board Profit Requirement from 1 January 2022 |
| 28 May | FSTB Concludes Consultation on Licensing Regime for Hong Kong Virtual Asset Exchanges |
| 11 May | Hong Kong Government subsidises establishment of Hong Kong open-ended fund companies and real estate investment trusts |
| 22 April | HKEX Proposes Extension of its Secondary and Dual Primary Listing Regimes |
| 20 April | HKEX Proposes to Revise Corporate Governance Code and Related Listing Rules |
| 10 April | HKEX Proposes Simplification of HKEX Listing Regime for Overseas Companies |
| 8 April | Financial Affairs Panel to Discuss Protection of Personal Information Provisions |
| 8 April | SFC Publishes Quarterly Report (Q4 2020) |
| 1 April | The HKEX Consultation Paper on the Listing Regime for Overseas Issuers |
| 19 March | HKEx Publishes Review of Listed Companies’ Corporate Governance Practices and Practitioner’s Insights on ESG |
| 18 March | SFC Updates FAQs on Compliance with Suitability Obligations and Requirements for Complex Products |
| 17 March | UK Listing Review Recommendations for Reform of the LSE Listing Rules |
| 8 March | Crypto 2021 - Looking Forward |
| 26 February | Steering Group Announces Green and Sustainable Finance Strategy for Hong Kong |
| 24 February | Hong Kong 2021/2022 Budget – Market Highlights |
| 20 February | HKEx Publishes Findings of Latest Review of Issuers’ Annual Report Disclosures |
| 11 February | SFC Consults on Proposed Code of Conduct on Hong Kong Bookbuilding and Placing Activities and Proposal on HKEx Sponsor Coupling |
| 19 January | SFC consults on changes to Competency Requirements for Licensed Intermediaries and Individuals |
| 11 January | Charltons Responds to HKEX Consultation on Main Board Profit Requirement on behalf of 10 sponsor firms |
| 8 January | SFC Takeovers Bulletin No. 55 on Takeovers Code Breaches and Regulatory Reminders |
2020 |
|---|
| 18 December | SFC Consults on Investor Identification Regime and OTC Securities Transactions Reporting Regime |
| 8 December | Hong Kong Government Announces New Social Distancing Measures |
| 27 November | HKEx Consults on Proposal to Increase the Main Board Profit Requirement |
| 24 November | HKEx Consults on Proposal to Streamline IPO Settlement Process |
| 13 November | SFC Consults on Climate-risk Requirements for Fund Managers |
| 11 November | FSTB Consults on Proposed Registration Regime for Dealers in Precious Metals and Stones |
| 9 November | FSTB Consults on Proposed Licensing Regime for Virtual Asset Exchanges |
| 5 November | HKEx Publishes Consultation Conclusions on Proposal to Permit Corporate WVR Beneficiaries |
| 30 October | Hong Kong SFC Reprimands and Fines Goldman Sachs US$350 million |
| 20 October | HKEx Publishes Consultation Conclusions on Codification of General Waivers Relating to IPOs and Listed Issuers and Minor Rule Amendments |
| 14 October | SFC Consults on Changes to AML and CFT Guidelines for Licensed Corporations |
| 22 September | Changes to Hong Kong’s Open-ended Fund Companies Regime Take Effect 11 September 2020 |
| 11 September | HKEx Consults on Listing Rule Amendments to Increase its Disciplinary Powers and Sanctions |
| 1 September | Amendments to HKEx's Listing Rules for Debt Issues to Professional Investors to Take Effect on 1 November 2020 |
| 4 August | Hong Kong Launches Hang Seng TECH Index |
| 3 August | HKEx Consults on Paperless Listing and Subscription and Issues New IPO Guidance |
| 30 July | HKEx Publishes Listing Decision 126-2020 with Reasons for Listing Application Rejections |
| 29 July | Hong Kong Government Introduces Most Restrictive Social Distancing Measures Yet |
| 21 July | New HKEx Guidance for Biotech Companies Listing under Chapter 18A |
| 15 July | Hong Kong Further Tightens Social Distancing Measures Effective 15 July 2020 |
| 10 July | Hong Kong Tightens Social Distancing Measures from 11 July 2020 |
| 30 June | Disciplinary Actions for Takeovers Code Breaches in June 2020 |
| 29 June | SFC Publicly Reprimands and Fines Guotai Junan HK$25.2 million |
| 24 June | HKEx to Launch New Sustainable and Green Exchange |
| 24 June | Consultation Conclusions Issued on a Paperless Securities Market for HKEx-listed Securities |
| 23 June | Hong Kong quarantine relaxed for directors of HKEx listed companies and HKEx listing applicants, certain lawyers, accountants and professionals |
| 17 June | HKSAR Government announces further easing of social distancing measures |
| 8 June | SFC Disciplinary Actions in May 2020 |
| 3 June | HKSAR Government extends social distancing to 18 June 2020 and eases immigration controls |
| 13 May | Easing of certain social distancing measures and how they apply to shareholders’ meetings |
| 12 May | SFC Guidance to Licensed Corporations on Remote Office Cybersecurity Risk Management amid COVID-19 |
| 5 May | HKEx to Implement Volatility Control Mechanism Enhancements on 11 May 2020 |
| 29 April | SFC Guidance for Authorised Funds amid the COVID-19 pandemic |
| 27 April | SFC Publishes Guidance to Licensed Intermediaries amid COVID-19 |
| 23 April | HKEx IPO Market Q1 2020 |
| 22 April | SFC Sets Standards for Leveraged Foreign Exchange Traders Effective 1 January 2021 |
| 21 April | HKMA Announces Pre-approved Principal Payment Holiday Scheme amid COVID-19 Pandemic |
| 20 April | SFC Guidance to ETF Fund Managers and Market Makers after Temporary Halt by ETF Market Maker amid COVID-19 Pandemic |
| 17 April | Hong Kong Government Support for Local Enterprises & SMEs |
| 6 April | Hong Kong Government Relief Measures in light of the COVID-19 Outbreak |
| 6 April | HKEx Announces Planned Launch of Master SPSA Service for Fund Managers |
| 3 April | SFC Publishes Guidance to Fund Industry in view of COVID-19 Outbreak |
| 2 April | SFC and HKEx Joint Statement Explains how the Covid-19 Regulations Apply to Shareholders Meetings of HKEx Listed Companies |
| 1 April | Hong Kong Employment Law in the Age of COVID-19 |
| 1 April | SFC Extends Deadlines for Implementing Regulatory Expectations and Reminds Intermediaries of Order Recording Requirements amidst COVID-19 Pandemic |
| 1 April | SFC Circular Reminds Intermediaries of their Obligations to Ensure Suitability and Timely Dissemination of Information to Clients |
| 1 April | SFC Issues Guidance on Licensing Related Matters in Light of COVID-19 Pandemic |
| 31 March | HKEx Updates and Streamlines Guidance Materials |
| 30 March | HKEx and SFC Issue Further Guidance on Results Announcements in light of COVID-19 |
| 27 March | Hong Kong’s Limited Partnership Fund Bill to Take Effect on 31 August 2020 |
| 20 March | HKEx Publishes Review of Issuers’ Annual Report Disclosure |
| 6 March | COVID-19 and Force Majeure: What You Should Know |
| 4 March | SFC and HKEx Listing Committee Recent Enforcement News |
| 27 February | Hong Kong Monetary Authority and Bank of Thailand Report on a joint Central Bank Digital Currency research project |
| 26 February | Hong Kong 2020/2021 Budget |
| 21 February | SFC Bulletin gives Update on SFC’s Front-loaded Regulatory Approach |
| 19 February | HKEx Publishes Consultation Paper on Corporate WVR Beneficiaries |
| 18 February | Latest SFC Decisions Against SFC Licensed Corporations and Unlicensed and SFC Licensed Individuals for Compliance Failures under the Securities and Futures Ordinance |
| 14 February | HKEX/SFC Guidance on Financial Results Publication amid Corona Virus Travel Restrictions |
| 24 January | SFC Issues Licensing Guidance for Hong Kong Private Equity firms and Family offices |
| 20 January | HKEx Consultation Conclusions on Review of the ESG Reporting Guide and ESG Listing Rules |
| 16 January | SFC Publishes Consultation Paper on Amending the Regime for Open-Ended Fund Companies |
| 6 January | SFC Survey on Integrating Environmental, Social and Governance Factors and Climate Risks in Asset Management |
| 2 January | HKEx Consults on Amendments to the Chapter 37 Professional Debt Regime |
2019 |
|---|
| 10 December | SFC Guidance on Disclosure by HKEx-listed Companies and to Licensed Fund Managers on Dubious Private Funds |
| 4 December | SFC Circular on Licensed Corporations’ Use of External Electronic Data Storage |
| 27 November | HKEx Enhances Guidance for Overseas Listing Applicants |
| 25 November | SFC Issues Regulations for Licensed Crypto Exchanges |
| 29 October | Hong Kong SFC Issues Crypto Fund Licensing Conditions for Hong Kong Crypto Fund Managers |
| 28 October | HKEx Reports on Hong Kong ETF Market as a Door to Global Investment |
| 27 September | SFC Fines HSBC for Code of Conduct Breaches |
| 28 August | HKEx Listing Rules: HKEx Consultation on Codifying Waivers and Principles for HKEx IPOs and Listed Issuers |
| 14 August | New Listing Rules on Backdoor Listings Effective 1 October |
| 1 August | HKEx Report on the CES HK Biotechnology Index |
| 26 July | Onboarding Clients Online: Changes to SFC’s Code of Conduct Para 5.1 |
| 22 July | New HKEx Listing Decision Review Structure and Appointment of First Listing Review Committee |
| 19 July | SFC Reminds Listed Companies of Duties on Corporate Acquisitions and Disposals |
| 28 June | HKEx Amends Russia Country Guide for International Companies |
| 26 June | Hong Kong SFC Issues New Guidance on Selling Complex Products |
| 18 June | Hong Kong SFC Requires Enhanced Disclosure for Green or ESG Retail Funds |
| 17 June | Hong Kong SFC Imposes HK$27 mln Fine for Sponsor Due Diligence Failures |
| 14 June | HKEx to Suspend Listed Issuers for Audit Disclaimers and Adverse Opinions |
| 5 June | Financial Reporting Council can Access PRC Audit Working Papers |
| 6 May | HKIAC Approved as Arbitration Venue for Russian Deals |
| 11 April | SFC Imposes Record Fines for Sponsor Failures |
| 3 April | First virtual banking licences issued in Hong Kong |
| 2 April | HKEx Listing Rule Amendments Take Effect on 1 March 2019 |
| 1 April | Statement on Security Token Offerings Published by Hong Kong's SFC |
| 6 March | Hong Kong Consults on Paperless Securities Market |
| 18 February | New Licensing Forms and Mandatory Electronic Filings Required by the SFC |
| 23 January | New Listing Committee Decision Review Structure for HKEx in 2019 |
| 14 January | Hong Kong Tops IPO Fundraising in 2018 |
| 10 January | SFC Publishes Consultation Conclusions on OTC Derivatives and Conduct Risks |
| 8 January | Amendments to Hong Kong Code on Unit Trusts and Mutual Funds effective 1 January 2019 |
| 4 January | Driving Private Financing for Green Industries in Hong Kong – The Catalytic Role of a Green Investment Bank |
2018 |
|---|
| 24 December | HKEx Publishes Review of Corporate Governance Practices and Updates Guidance on ESG Reporting |
| 18 December | GEM Listing Committee Censures L & A International Holdings |
| 4 December | CFA Allows Appeal on Insider Dealing of Asia Telemedia Shares |
| 3 December | Trading Suspensions Proposed by HKEx for Auditor Disclaimers and Adverse Opinions |
| 12 October | Hong Kong Green Finance Strategic Framework Announced by SFC |
| 3 October | Listing Committee Review Structure under Consultation |
| 21 September | SFC Consults on Guidelines for Securities Margin Financing |
| 20 August | SFC Consults on AML and CTF Guidelines |
| 15 August | Hong Kong Takeovers Code Amendments effective 13 July 2018 |
| 28 July | HKEx issues Corporate Governance Code Consultation Conclusions and Guidance for Boards and Directors |
| 27 July | CCB International Capital Limited fined $24 million for sponsor due diligence failures |
| 20 July | New Hong Kong Stock Exchange Guidance for Listing Applicants in the Internet Technology Sector |
| 19 July | HKEx Consults on Tightened HKEx Listing Rules on Backdoor Listings and Shell Companies |
| 10 July | New Open-ended Fund Company Regime Effective 30 July 2018 |
| 26 June | Investor Compensation Regime Enhancements Proposed by the SFC |
| 22 June | Hong Kong Listing Rule Changes on Delisting effective 1 August |
| 15 June | Virtual Bank Authorisation: HKMA Issues New Guideline |
| 11 June | Hong Kong Stock Exchange Reports on Financial Statements Review 2017 |
| 7 June | HKMA Circular on Credit Risk Management for Personal Lending Business |
| 5 June | Securities and Futures Professional Investor Rules Amendments |
| 2 June | Corporate misconduct: SFC outlines its regulatory approach |
| 31 May | Listing Rules on Capital Raisings by Listed Issuers Tightened by HKEx |
| 29 May | SFC Outlined Market Regulation Approach and fined Citigroup |
| 18 May | Hong Kong Monetary Authority to Launch Pilot Bond Grant Scheme |
| 26 April | SFC Guidelines on Online Platforms and Advisory Services |
| 25 April | New Rules for Listing Biotech Companies on Hong Kong Stock Exchange |
| 23 April | Consultation Conclusions on WVR Listings |
| 11 April | SFC and CSRC increase daily quotas for Mainland-Hong Kong stock connect |
| 10 April | Continued deficiencies in sponsor work identified by SFC |
| 14 March | SFC and Exchange sign addendum to MOU Governing Listing Matters |
| 23 February | HK Stock Exchange Consults on Listings of Emerging and Innovative Companies |
| 23 February | SFC Fines IBHK concerning Electronic and Algorithmic Trading Systems |
| 9 February | SFC Consults on Takeovers Code Changes |
2017 |
|---|
| 20 December | HKEx Listing Decisions on Sufficiency of Assets/Operations for Continued Listing |
| 19 December | Amendments to HKEx’s Main Board and GEM Listing Rules Take Effect on 15 February 2018 |
| 15 December | HK Exchange to Allow Main Board Listings of Innovative Companies with Weighted Voting Rights and Pre-revenue Biotech Companies |
| 12 December | HKEx Consults on Documentary Requirements for Listed Issuers |
| 5 December | HKEx Consults on Review of Corporate Governance Code |
| 16 November | Consultation Paper on Capital Raisings by Listed Issuers |
| 8 November | Internet Trading Hacking Risks - New SFC Guidelines |
| 30 October | Extension of Profits Tax Exemption to Offshore Private Equity Funds in 2015 |
| 27 October | Updates on New Board Concept Paper |
| 29 September | SFC Regulatory Sandbox Launched and HKMA Announces New Era of Smart Banking |
| 29 September | Hong Kong Stock Exchange issues a Consultation Paper on Delisting and Other Rule Amendments |
| 21 September | Takeovers Executive Sanctions for Breach of Mandatory General Offer Obligation |
| 18 September | Joint Consultation Conclusions on Proposed Changes to Hong Kong Listing Regulation Released |
| 1 September | Financial Resources Rules: SFC’s Consultation Conclusions and Further Consultation on Changes |
| 30 August | Charltons emphasises Hong Kong’s “super connector” role at the Belt and Road Forum in Chengdu |
| 21 August | Companies (Amendment) Bill 2017 introduces Significant Controllers Register |
| 8 August | SFC Proposes Rules and Code for Open-ended Fund Companies (OFCs) |
| 11 July | Issuers' Annual Reports Disclosure Review by HKEx |
| 11 July | TVB ruling on whitewash waiver by Takeovers Panel |
| 7 July | AML (Anti-Money Laundering) and Counter-Terrorist Financing Bill |
| 6 July | BVI Beneficial Ownership Secure Search System Act 2017 |
| 5 July | SFC clarifies Requirements for Asset Management Activity |
| 27 June | SFC Circular on Responsible Officers and Substantial Shareholders |
| 24 June | Changes to the GEM Rules and Main Board Rules Proposed by the HKEx |
| 23 June | SFC Issues Statement on Listing of Infrastructure Project Companies |
| 22 June | HKEx Consults on Proposed New Board for New Economy Companies |
| 15 June | Mainland-Hong Kong Bond Market Connect to be Established |
| 14 June | SFC Elaborates on the Liabilities of Directors and Senior Executives of Listed Companies and Senior Management Accountability |
| 9 June | SFC Authorisation for Leveraged and Inverse Products |
| 26 May | Backdoor Licensing, Managers-In-Charge of Core Functions and the Legal Liabilities of Senior Management |
| 19 April | SFC Publishes Statement on Recent GEM Listing Applications and the Requirement for an Open Market |
| 22 March | SFC Publishes Consultation on Amendments to the Professional Investor Rules |
| 20 March | Private: European Chamber of Commerce Paper on Hong Kong Fintech |
| 2 February | SFC and HKEX Impose New Requirements for Listing Applicants, Sponsors, Underwriters and Placing Agents of GEM IPOs |
| 26 January | Hong Kong is World’s Top IPO Fundraising Market in 2016 while Listed Debt Turnover Rises 126 percent on 2015 |
| 23 January | SFC Issues New Guidance on Licensed Intermediaries’ Suitability Obligations |
| 13 January | New SFC Measures to Increase the Accountability of Licensed Corporations’ Senior Management |
2016 |
|---|
| 30 December | SFC Consults on Proposals to Tighten Regulation of Fund Managers and Point-of-sale Disclosure |
| 22 December | HKEX Issues Guidance on "Ownership and Control" Requirement for Listing Applicants and Issues Relevant to Controlling Shareholders (HKEx-GL89-16) |
| 20 December | Rights Issues and Open Offers that Significantly Dilute Minority Shareholding Interests Face Closer SFC and HKEx Scrutiny |
| 2 December | Shenzhen-Hong Kong Stock Connect to Launch on 5 December 2016 |
| 21 November | HKEX/SFC Joint Consultation: Proposed Enhancements to the Stock Exchange of Hong Kong Limited’s Decision-making and Governance Structure for Listing Regulation |
| 23 September | SFC Reprimands and Fines HSBC HK$2.5 Million Over Regulatory Breaches |
| 22 August | Shenzhen-Hong Kong Stock Connect Gets Green Light |
| 19 August | SFC Publishes 2015 Fund Management Activities Survey |
| 1 August | Hong Kong And Russia Double Taxation Agreement Comes Into Force |
| 27 July | SFC CEO Mr. Ashley Alder's Remarks at Hedge Fund Standards Board Institutional Investor Roundtable |
| 25 July | Latest Guidance on Pooled Property Arrangements and Crowdfunding Property Investments |
| 15 July | SFC Takeovers Bulletin No. 37 on Takeovers Code Breaches and Regulatory Reminders |
| 24 June | Joint Consultation Paper Issued on Proposed Changes to Hong Kong Listing Regulation |
| 13 June | HKEx Publishes Guidance for Offshore Retail Funds Applying to List in Hong Kong |
| 3 June | Hong Kong Stock Exchange Publishes New Guidance on IPO Vetting and Suitability for Listing |
| 2 June | Memorandum of Understanding Entered into between Hong Kong International Arbitration Centre and the Russian Arbitration Association |
| 27 May | Hong Kong’s Takeovers Panel Rules that Alibaba Breached Takeovers Code due to “Special Deal” |
| 23 May | China’s NDRC to Simplify Outbound Investment Rules |
| 16 May | Hong Kong Stock Exchange Publishes Guidance Letter on Bonus Issues of Shares |
| 13 May | HKEx Publishes Listing Decisions on Reasons for Rejection and Return of New Listing Applications |
| 30 April | Insider Dealing in Securities Listed Offshore: High Court Interprets Section 300 SFO in Landmark Case |
| 28 April | SFAT Reprimands and Fines Moody’s HK$11 million over Red Flags Report on Chinese Companies |
| 20 April | Hong Kong Stock Exchange Publishes Guidance Letter for Issuers Subject to Rumours or Market Commentaries |
| 20 April | SFC Commences Market Misconduct Proceedings for Alleged Breaches of Inside Information Disclosure Requirements |
| 6 April | SFC Publishes Consultation Conclusions on Principles of Responsible Ownership |
| 29 March | New Open-Ended Fund Company Structure for Hong Kong Funds to be Introduced Under the Securities and Futures (Amendment) Bill 2016 |
| 18 March | Amendments to the Hong Kong Professional Investor Regime Take Effect on 25 March 2016 |
| 9 March | Hong Kong SFC Publishes Circular on Requirements for Authorisation of Leveraged and Inverse Products Structured as ETFs |
| 7 March | SFC Concludes on Expanding Scope of Short Position Reporting |
| 4 March | HKMA and SFC Publish Draft Rules Introducing Mandatory Clearing and Expanding Mandatory Reporting for OTC Derivatives |
| 26 February | The Contracts (Rights of Third Parties) Ordinance – the Impact on Hong Kong Contracts |
| 19 February | Hong Kong Stock Exchange Publishes Listing Document Simplification Guide |
| 29 January | New Report Sets Out Proposals to Boost Hong Kong as a Fund Distribution Centre |
| 29 January | Hong Kong Stock Exchange Strategic Plan 2016-2018 |
| 20 January | Hong Kong And Russia Sign Double Taxation Agreement |
| 19 January | Comply or Explain ESG Reporting for Hong Kong Listed Companies for Financial Years Starting from 1 January 2016 |
| 15 January | HKEx Paves the Way for Russian Companies to List in Hong Kong |
| 12 January | SFC Consults on Changes to the Guidelines for Regulation of Automated Trading Services |
2015 |
|---|
| 31 December | SFC Consults on Expanding the Scope of Short Position Reporting |
| 31 December | HKEx Targets Backdoor Listings in Application of Cash Company Rules to Large Scale Fundraisings |
| 23 December | Suitability Requirement to Become Mandatory Provision of Client Agreements Under SFC Code Amendments |
| 22 December | HKEx Provides Further Guidance on Significant Distributions of Unlisted Assets by Listed Issuers |
| 23 November | HKEx Approves India as Acceptable Jurisdiction of Incorporation for Listing Applicants |
| 11 November | Hong Kong Law Reform Commission Consults on Third Party Funding for Arbitration |
| 11 November | Exchange Publishes Guidance on Continuing Obligations of Issuers and Guarantors of Listed Debt Securities |
| 28 October | Takeovers Panel Upholds Executive’s Decision that No Mandatory General Offer Obligation Arose for China Oriental |
| 26 October | HKEx Proposes “London-Hong Kong Connect” to Link Commodities Markets |
| 16 October | SFC launches Pilot Initiatives to Enhance Fund Authorisation Process |
| 14 October | Hong Kong Drops Weighted Voting Rights |
| 9 October | Hong Kong Stock Exchange Publishes Consultation Conclusions on Volatility Control Mechanism and Closing Auction Session |
| 15 September | HKEx Consults on Introduction of “Comply or Explain” Environmental, Social and Governance Reporting |
| 12 August | Exchange Publishes Guidance on Mixed Media Offers |
| 10 August | Ernst & Young Discontinues Appeal over Producing Chinese Audit Working Papers to SFC |
| 5 August | SFC Fines Licensed Entity HK$4.5 million for Delay in Reporting Trader’s Misconduct |
| 31 July | SFC Brings First Action for Breach of Listed Companies’ Obligation to Disclose Inside Information under Part XIVA Securities and Futures Ordinance |
| 24 July | Hong Kong Accountants’ Exemption from Restrictions on Foreign Accountants Auditing Chinese Companies Listing Offshore |
| 17 June | Exchange Publishes Guidance on Issue of Convertible Securities by Listed Issuers |
| 10 June | Mainland-Hong Kong Mutual Recognition of Funds Initiative to Launch on 1 July 2015 |
| 22 May | SFC Publishes Update on Intermediaries' KYC and Account Opening Obligations |
| 18 May | Hong Kong Listing Rule Amendments to Reflect New Financial Information Disclosure and Other Requirements |
| 14 May | Hong Kong Stock Exchange 2015 Listing Decisions: Regulatory Breaches Impact Cash Flow Calculation and Controlling Shareholders' Post-IPO Lock-up Explained |
| 12 May | New SFC Guidance on Inside Information and Listing Document Disclosure and Appropriateness of IPO Incentive Schemes |
| 12 May | China Adds 3 New FTZs and Introduces New National Security Review Procedures for Foreign Investments in FTZs |
| 30 April | Court of Final Appeal Ruling: Pacific Sun Advisors and its Director Acquitted of SFO Offence re. Unauthorised Issue of Fund Advertisements |
| 25 March | New Pre-Trade Checking Model for Trading A Shares under Shanghai-Hong Kong Stock Connect |
| 24 March | Hong Kong Stock Exchange to Issue Conclusions on Weighted Voting Rights |
| 16 March | Hong Kong Profits Tax Exemption to be Extended to Offshore Private Equity Funds 2015 |
| 10 March | HKEx Consults on Volatility Control Mechanism and Closing Auction Session 2015 |
| 4 March | SFC Bans Ping An Former CEO for 1 Year over Internal Control Failures 2015 |
| 2 March | Short Selling of A Shares via Shanghai-Hong Kong Stock Connect Starts Monday, 2 March |
| 26 February | US SEC Settles Dispute with Big Four Accountants over Chinese Accounting Records Access |
| 16 February | Russia to sign IOSCO MMoU clearing the way for Russian companies to list on the Stock Exchange of Hong Kong |
| 12 February | The 10 Most Important Things to Know about China New Foreign Investment Law |
| 10 February | Stamp Duty Exemption for Hong Kong-Listed ETFs Effective Friday, 13 February 2015 |
| 2 February | Exchange Updates Guidance on IPO Listing Document Disclosure relating to Material Changes after Trading Record Period |
| 18 January | Hong Kong Corporate Finance Regulation - 2014 Highlights and the Year Ahead |
| 17 January | Hong Kong Stock Exchange Publishes Listing Decision on Controlling Shareholders' Post-IPO Lock-up Restrictions |
| 9 January | Moody's Appeals SFC's Disciplinary Action: Latest Developments |
| 2 January | SFC Consults on Greater Information Gathering Powers on Licensed Corporations to Assist Overseas Regulators |
2014 |
|---|
| 31 December | Hong Kong-China Mutual Recognition of Funds (MRF) Scheme Nears Implementation |
| 24 December | SFC Starts Market Misconduct Proceedings over Alleged False Research Report |
| 24 December | Hong Kong Law Change Introduces Three Days Paternity Leave |
| 18 December | Reporting and Record-keeping Obligations re OTC Derivative Transactions |
| 4 December | Document Execution at Virtual Signings and Closings |
| 1 December | China Consults on 2014 Draft of Foreign Investment Catalogue |
| 10 November | Shanghai-Hong Kong Stock Connect to Commence Monday |
| 6 November | HK Exchange Updates Listing Rule Guidance |
| 29 October | Exchange Listing Rule Amendments re Financial Information Disclosure under Companies Ordinance |
| 13 October | SFC Publishes Consultation Conclusions on Amendments to the Professional Investor Regime and Further Consultation on Client Agreement Requirements |
| 8 October | SFC Takeovers Update - Takeovers Bulletin No 30 |
| 29 September | HKEx Publishes Concept Paper on Weighted Voting Rights |
| 10 September | HKEx Stops Initial Check of IPO Application Proofs |
| 29 August | SFC Drops Proposed Amendments to Sponsors Prospectus Liability Provisions |
| 20 August | SFC Comments to Focus on Substantive Takeovers Code Issues |
| 18 August | FSTB Publishes Consultation Conclusions on Improving Corporate Insolvency Law and Proposals for a New Statutory Corporate Rescue Procedure |
| 8 August | HKMA-SFC Consult on Rules Imposing Mandatory Reporting Obligations for OTC Derivative Transactions |
| 5 August | FSDC Publishes Recommendations for Positioning Hong Kong as a Preferred International Listing Venue |
| 1 August | FSTB Consults on Increasing Independence of Regulatory Regime for Listed Entity Auditors |
| 29 July | Takeovers Panel rules the Codes apply to SouthGobi Resources Limited |
| 7 July | SFC Proposes Additional Exemptions from Part XV Disclosure Requirements |
| 2 July | SFC Publishes Assessment Questions for Effective Business Continuity Plans |
| 30 June | The Exchange Consults on Internal Controls Section of the Corporate Governance Code |
| 13 June | PRC Ministry of Finance Releases Draft Regulations on Cross-Border Audit Services |
| 12 June | Hong Kong Stock Exchange Publishes Guidance Letter on Reverse Takeover Rules |
| 11 June | Exchange Publishes Guidance on Listed Issuers Use of Structured Contracts |
| 10 June | SFC Launches Online System for Dealing Disclosures under Takeovers Code |
| 9 June | Court Orders EY to Produce Accounting Records to SFC |
| 27 May | SFC Reprimands and Fines ICBCI and Deutsche Bank |
| 22 May | Exchange Publishes Further Information on Shanghai-Hong Kong Stock Connect |
| 16 May | Exchange Issues Guidance on Opinion Letters Prepared By Independent Financial Advisers |
| 9 May | SFC Issues Notice on Risks and Potential Regulatory Issues of Crowd-Funding |
| 23 April | HKEx to Launch its First Asia Commodities Contracts |
| 16 April | FSTB Consults on Open-Ended Fund Company Structure |
| 14 April | Exchange Reviews Disclosure in Annual Reports to Monitor Rule Compliance |
| 11 April | Linking of Shanghai and Hong Kong Stock Exchanges |
| 11 April | Exchange Publishes New Guidance on Placing Shares to Connected Clients for Independent Third Parties |
| 8 April | Revised Connected Transaction Rules to Take Effect |
| 3 April | Exchange Introduces New Headline Categories for Announcements |
| 2 April | Sponsor Regime Update - Initial 3-Day Check |
| 28 March | SFC Consults on the Regulation of Alternative Liquidity Pools |
| 14 March | HK Government Proposals for Resolution Regime for Financial Institutions |
| 11 March | Information on Listing Applications since the New Sponsor Regime |
| 7 March | SFC Proposes Amendments to the Code on REITs |
| 5 March | Rule Amendments - Annual Listing Fees FAQs Following the New Companies Ordinance |
| 28 February | New Companies Ordinance - Relating to Memorandum, Articles of Association |
| 27 February | Hong Kong Companies Ordinance-Schemes Amalgamations |
| 26 February | New Companies Ordinance - Financial Reporting |
| 24 February | New Companies Ordinance - Registration of Charges |
| 20 February | New Companies Ordinance - Company Administration and Procedure |
| 13 February | New Companies Ordinance - Share Capital |
| 12 February | New Companies Ordinance - Changes Affecting Directors |
| 7 February | Exchanges Decision on Breach of Rules on Price Sensitive Information |
| 5 February | New Guidance on the Applicable Laws and Regulations section |
| 28 January | Hong Kong Stock Exchange Issues New and Updated Guidance Letters |
| 14 January | Increase in Inside Information Announcements and Additional FAQs |
2013 |
|---|
| 24 December | Hong Kong Stock Exchange Publishes 20 Country Guides for Acceptable Jurisdictions of Incorporation |
| 23 December | SFC To Step Up Oversight Of Corporate Conduct |
| 18 December | Hong Kong Stock Exchange Publishes Guidance Letter on Suitability for Listing and Listing Decision on the Suitability for Listing of Applicants Which Had Conducted Business in Countries Subject to Sanctions |
| 18 October | SFC Publishes FAQ on the New Sponsor Regime |
| 11 October | SFC Issues Takeovers Bulletin on Dealing Disclosures under Rule 22 and the Exemption from Rule 109 for Companies with Dual Listing |
| 9 October | Stock Exchange and SFC Issue Updated Joint Policy Statement Regarding the Listing of Overseas Companies |
| 30 September | New Sponsors Regime To Come Into Effect For Listing Applications Submitted On Or After 1 October 2013 And Publication Of The Hong Kong Sponsor Due Diligence Guidelines |
| 23 September | Exchange Publishes Guidance on Resumption of Long Suspended Companies |
| 19 September | SFC Issues Guidelines on the Application of the CPSS-IOSCO Principles for Financial Market Infrastructures |
| 18 September | Exchange Issues Guidance on Documentary Requirements and Administrative Matters Relating to New Listing Applications |
| 17 September | Exchange Provides Guidance on Confirmations from Reporting Accounts on Historical Financial Information |
| 16 September | Exchange Publishes Guidance Letter HKEx-GL6-09A on Financial Information for the Trading Record Period Expected in the First Draft Listing Document for Listing Applications |
| 13 September | Exchange Sets Out Guidance on Logistical Arrangements for the Publication of Application Proofs Post Hearing Information Packs and Related Materials |
| 30 August | Stock Exchange Publishes Updated Guidance on Waiver Applications for New Mineral Companies under Main Board Rule |
| 29 August | SFC Issues Takeovers Bulletin on Disqualifying Transactions under the Whitewash Guidance Note and Application of Rule 201B to Share Repurchases By Partial Offer |
| 13 August | Exchange Publishes FAQ on Listing Rule Changes to Complement the Securities and Futures Commissions New Sponsor Regulation |
| 13 August | Exchange Publishes Listing Rule Changes to Come into Effect Regarding New Statutory Regime on the Regulation of Sponsors |
| 22 July | HKEx Incorporates Listing Decision LD45-3 Regarding Conditions for Waiver from Strict Compliance with Gem Listing Rules into Guidance Letter GL25-11 |
| 8 June | Hong Kong Stock Exchange Publishes Listing Decision on whether Deteriorating Financial Performance After Track Record Period and Other Factors Rendered Applicant Unsuitable for Listing |
| 6 June | Hong Kong Stock Exchange Publishes Listing Decisions on Rights Issues and Spin-Offs |
| 4 June | Court of Final Appeal Hands Down Landmark Ruling on the Application of Section 213 of the SFO |
| 3 June | SFC Publishes Consultation Paper on the Professional Investor Regime |
| 29 May | Stock Exchange Publishes Guidance on Listing Document Risk Factors Disclosure |
| 27 May | Hong Kong Stock Exchange Publishes Consultation Papers on Connected Transaction Rules |
| 13 May | Exchange Publishes FAQ on Listing Rule Changes Consequential on the Statutory Regime for Disclosure of Inside Information |
| 26 April | SFC Publishes Frequently-Asked-Questions on Chinese Walls Requirement |
| 19 April | Hong Kong Stock Exchanges Publishes Three Listing Decisions on Reverse Takeovers |
| 19 April | Hong Kong Stock Exchange Publishes Report on Issuers Annual Report Disclosure |
| 12 April | SFC Publishes FAQ on Statutory Inside Information Disclosure Regime and the Exchange Publicly Censures Listed Issuer for Non-Disclosure under Previous Listing Rule Regime |
| 11 April | HKEx Publishes Listing Decisions in Relation to Convertible Note-Bond Issues |
| 10 April | Stock Exchange Publishes Guidance on Listing Document Disclosure for New Applicant Mineral Companies |
| 8 April | Stock Exchange of Hong Kong Publishes Consultation Conclusions on Allowing Listed Issuers to Release Inside Information During Trading Hours Subject to Short Trading Halts |
| 26 March | Bill to Regulate the Hong Kong OTC Derivative Market to be Introduced in the Second Quarter 2013 |
| 26 March | Hong Kong Stock Exchange Publishes Guidance Letter Gl51-13 Disallowing Additional Benefits for Cornerstone Investors |
| 11 March | Hong Kong Stock Exchange Publishes Listing Decision on Allowing a PRC Listed Company to Convert its Entire B Shares into H Shares and List the H Shares on the Main Board By Way of Introduction |
| 9 February | Hong Kong Stock Exchange Issues Guidance Letter and Listing Decisions in Relation to Mineral Companies |
| 2 February | Hong Kong Stock Exchange Publishes Guidance on the Reasons for Returning Certain Listing Applications |
2012 |
|---|
| 24 December | SFC Encourages Inside Information Disclosure before the Statutory Disclosure Regime comes into Effect |
| 24 December | Stock Exchange Updates Listing Decision on Circumstances under Which It Will Exempt a New Listing Applicant from Filing Placee Lists with Respect to its IPO Shares Sold in Public Offers Outside Hong Kong |
| 20 December | Hong Kong Stock Exchange Publishes Consultation Conclusions on Listing Rule Amendments Consequential on New Statutory Regime for PSI Disclosure |
| 7 December | Amendments to the Law on the Use and Provision of Personal Data for Direct Marketing Expected |
| 5 December | SFC Consultation Service on Statutory PSI Disclosure Regime and SFC Consults on Proposals to Enhance the Regulatory Regime for Non-Corporate Listed Entities |
| 29 November | SFC Holds IPO Sponsor Principals Jointly and Severally Liable in Discharge of Responsibilities |
| 26 November | Amendments to the Definitions of Specified Stock and Futures Exchanges and Proposed Amendments to the Securities and Futures Financial Resources Rules |
| 5 November | Hong Kong Stock Exchange Publishes Guidance on pre-IPO Investments |
| 30 October | FSTB and Companies Registry Consult on Subsidiary Legislation to Complement the New Companies Ordinance |
| 19 October | First Dual Counter Security Lists on Hong Kong Stock Exchange |
| 15 October | Stock Exchange Publishes Listing Decision in Relation to Suitability for Listing of Applicants with Deteriorating Financial Performance and Uncertain Business Prospects |
| 9 October | The Australasian Joint Ore Reserves Committee Releases for Public Comment the Exposure Draft of the JORC Code 2012 |
| 24 September | Hong Kong Stock Exchange Consults on Board Diversity |
| 14 September | Stock Exchange Updates Listing Decision on PRC Businesses Using VIE Structures |
| 12 September | Hong Kong Stock Exchange Publishes Consultation Conclusions on Environmental Social and Governance Reporting |
| 24 August | SFC and HKMA Publish Consultation Conclusions and Supplemental Consultation on the Regulation of OTC Derivatives |
| 22 August | Stock Exchange Consults on Listing Rule Amendments Consequential to Issuers Statutory Obligation to Disclose Price Sensitive Information |
| 15 August | Hong Kong Stock Exchange Consults on Allowing Publication of PSI During Trading Hours Subject to Trading Halts |
| 10 July | SFC Publishes Consultation Conclusions on Amendments to the Code of Conduct |
| 11 June | Hong Kong Stock Exchange Publishes Guidance on Listed Issuers Continuous Disclosure Obligations and on Disclosure of Distributorship Business Models in Listing Documents |
| 30 May | Hong Kong Stock Exchange Publishes Guidance Letter on Profit Forecasts under Main Board Rules and Gem Rule |
| 24 May | Securities and Futures Commission Publishes Consultation Paper on the Regulation of Sponsors |
| 11 May | Statutory Regime for Disclosure of Price Sensitive Information |
| 4 May | Hong Kong Stock Exchange Issues Guidance on Hard Underwriting Disclosure and SFC Fines Investors for Illegal Short Selling and SFC Fines and Revokes Licence of An IPO Sponsor |
| 2 May | New Anti-Money Laundering and Counter-Terrorist Financing Requirements for SFC Licensed Corporations |
| 26 April | Hong Kong Stock Exchange Issues Guidance Letter on Disclosure of Use of Proceeds in New Applicants Listing Documents |
| 25 April | Hong Kong Stock Exchange Publishes Guide to Connected Transaction Rules |
| 12 April | Hong Kong Stock Exchange Publishes Guidance Letter on the Accounting and Disclosure Requirements for Acquisitions of Subsidiaries and Businesses Conducted During Or After the Trading Record Period |
| 27 March | Amendments to the Takeovers Code |
| 21 March | SFCs New Short Position Reporting Regime Expected |
| 12 March | Hong Kong Stock Exchange Publishes Two Listing Decisions on Rights Issues |
| 15 February | Hong Kong Stock Exchange Publishes Revised Guidance on Prospectuses Issued Within 3 Months of the Issuers Financial Year End |
| 6 February | Hong Kong Stock Exchange Repeals Listing Rule Ban on Inclusion of Profit Forecasts in pre-Listing Research Reports Unless Also Included in Listing Document |
| 3 February | Hong Kong Stock Exchange Publishes Consultation Paper on Environmental Social and Governance Reporting Guide |
| 31 January | SEHK Recent Publications on Revised Publication Window for Issuers Documents pre-IPO Investments |
| 19 January | SFC Consultation on Proposed Amendments to the Code of Conduct |
| 11 January | Property Valuation Requirements for Mining Companies IPOs |
| 6 January | SFC Issues Takeovers Bulletin on Reminder to Fund Managers of Dealing Disclosure Obligations under Rule 22 of the Takeovers Code |
| 4 January | Streamlined Property Valuation Requirements |
2011 |
|---|
| 15 December | New Evidential Requirements for Proving Professional Investor Status |
| 7 December | SEHK Publishes Consultation Conclusions on Amendments to the Corporate Governance Code and Associated Listing Rules |
| 3 November | SFC Begins Consultation on Proposed Regulatory Regime for OTC Derivatives Market |
| 22 September | HKEX Publishes Revised Guidance for Chapter 21 Companies Investment Companies |
| 5 September | SFC Publishes Consultation Paper on Proposed Takeovers Code Amendments |
| 31 August | CSRC Tightens Regulation of Backdoor Listings and Adopts Measures to Facilitate Asset Acquisitions By Way of Share Issue |
| 17 August | SFC Reminds Sponsors to Exercise Reasonable Judgment in IPO Due Diligence |
| 15 August | SFC Extends Implementation Date for New Conflict of Interest Requirements Governing Research Reports |
| 16 July | SFC Publishes Consultation Conclusions on the Regulatory Framework for pre-Deal Research Reports |
| 15 July | SFC Publishes Guidance on Marketing of Existing Collective Investment Schemes and Investment-Linked Assurance Schemes to the Hong Kong Public under the Revised Code on Unit Trusts and Mutual Funds |
| 11 July | Takeovers and Mergers Panel Releases Ruling on whether Two Parties Should be Considered Concert Parties under the Takeovers Code |
| 6 July | SFC Publishes Revised Guidelines on Statutory Price Sensitive Information Disclosure Obligation |
| 4 July | HKEx Publishes FAQs on Models for RMB IPOs |
| 30 June | UK Bribery Act Comes into Force the Implications for Businesses in Asia |
| 27 June | Consultation Paper on Draft Short Position Reporting Rules Published |
| 13 June | Ex-Entitlement Trading Only After Shareholder Approval |
| 24 May | New Regime for Offers of Structured Products |
| 29 April | HKEx Listing Decisions on Acceptability of Prior Shareholder Mandates for Notifiable Transactions the Classification of A Share Repurchase By a Listed Subsidary under Chapter 14 and Qualification Requirements for Mainland Property Valuers |
| 13 April | SFC Report on Sponsor Inspection Findings |
| 11 April | SFC Publishes Consultation Conclusions on the Draft Guidelines on Disclosure of Price Sensitive Information |
| 8 April | UK Bribery Act 2010 to Come into Force - UK MOJ Publishes Guidance on Adequate Procedures Defence and DPP and SFO Publish Joint Prosecution Guidance |
| 6 April | HKEx Publishes Listing Decision Regarding Restrictions on Disposal After a Change in Control under Chapter 14 of the Listing Rules |
| 25 March | Companies Registry Implements One-Stop Electronic Incorporation and Business Registration Service |
| 8 March | HKEx Issues New Guidance on the Requirements for the Publication of Overseas Regulatory Announcements |
| 28 February | Mixed Media Offers allow Paper Application Forms with Electronic Prospectuses |
| 25 February | SFC Publishes Consultation Conclusions on the Evidential Requirements under the Securities and Futures Professional Investor Rules |
| 22 February | FSTB Publishes Consultation Conclusions on Statutory Backing to Price Sensitive Information Disclosure Requirements |
| 14 February | The UKBribery Act 2010 - the Implications for Businesses Operating in Asia |
| 2 February | Reduction of the Minimum Shareholder Requirement for the Market Capitalisation-Revenue Test from 1000 to 300 |
| 31 January | HKEx Extends Trading Hours |
| 21 January | SEHK and SFC Publish Joint Consultation Paper Proposing Changes to Property Valuation Requirements |
| 14 January | HKEx Publishes Consultation Paper On Ex-Entitlement Trading |
| 12 January | HKEx Publishes Listing Decision on the Listing Eligibility of An Entity under Joint Control |
| 11 January | HKEx Publishes Consultation Paper on Review of the Code on Corporate Governance Practices and Associated Listing Rules |
| 5 January | HKEx Publishes Consultation Paper on Proposed Changes to Requirements for the Listing of Debt Issues to Professional Investors Only |
2010 |
|---|
| 24 December | HKEx Amends Listing Rules to Accept Mainland Accounting and Auditing Standards and Mainland Audit Firms for Mainland Incorporated Companies Listed in Hong Kong |
| 13 December | SFC SEHK Publish Joint Consultation Conclusions on the Proposal to Allow the Issue of Paper Application Forms with Electronic Listing Documents |
| 10 December | SFC Publishes Consultation Paper on the Regulatory Framework for pre-IPO Research Reports |
| 30 November | Registration of Investment Managers with Sec |
| 15 November | SFC Publishes Consultation Conclusions Concerning the Regulatory Oversight of Credit Rating Agencies |
| 10 November | HKEx Admits Brazil Japan and the Isle of Man as Acceptable Jurisdictions of Incorporation for Overseas Listing Applicant |
| 3 November | HKEx Listing Committee Announces Interim Guidance on pre-IPO Investments |
| 6 October | SFC Publishes Consultation Paper on the Evidential Requirements under the Securities and Futures Professional Investor Rules |
| 17 September | HKEx Publishes Consultation Paper on Proposed Reduction of Required Minimum Number of Shareholders for the Market Capitalisation-Revenue Test |
| 8 September | Consultation Conclusions on the First Phase Consultation of the Draft Companies Bill Published |
| 9 August | SFC Dual Filing Update Identifies Shortcomings in Prospectus Disclosure |
| 5 August | SFC Consults on Regulatory Oversight of Credit Rating Agencies |
| 15 June | Changes to Requirements for Circulars and Listing Documents of Listed Issuers |
| 11 June | SFC to Implement Proposals to Enhance Regulation of Retail Structured Products |
| 26 May | Changes to Connected Transaction Rules |
| 26 May | Introduction to the New Main Board and Gem Listing Rules for Mineral Companies |
| 5 May | SFC Consultation Paper on Proposal to Stop Commenting on Routine Announcements under the Codes on Takeovers and Mergers and Share Repurchases and Proposed Miscellaneous Amendments to the Codes |
| 1 May | Revised Practice Note 15 in latest SFC Takeovers Bulletin |
| 22 April | FSTB and SFC Consultations on Proposals to Give Statutory Backing to Listed Companies Obligation to Disclose Price Sensitive Information |
2009 |
|---|
| 3 December | HKEx Publishes Consultation Paper on Proposed Changes to its Connected Transaction Rules |
| 19 November | HKEx Streamlines Procedures for Listing Overseas Companies |
| 20 October | HKEx Publishes Consultation Paper on Proposals to Allow Mainland Companies Listed on HKEx to Use Mainland Accounting and Auditing Standards and Mainland Audit Firms |
| 15 October | HKEx Publishes Consultation Paper on Proposed Changes to Requirements for Circulars and Listing Documents of Listed Issuers |
| 5 October | HKEx Consults on New Listing Rules for Mineral and Exploration Companies |
| 25 August | SFC Consults on Increased Short Selling Disclosure |
| 17 August | HKEx Publishes Consultation Paper on Proposals to Accelerate Rights Issues and Open Offers |
| 14 August | HKEx Consultation Paper on Proposed Changes to Filing and Checklist Requirements for Listing Equity Securities |
| 22 June | Recent Developments in Chinas Business and Securities Laws |
| 13 June | HKEx Potential Waiver from Profit Test Requirement for Main Board IPO Applicants |
| 30 April | Decision 55-2009-Qd-Ttg - New Regulations on Foreign Ownership of Vietnamese Companies |
| 22 April | The Turner Review and Discussion Paper - a Regulatory Response to the Global Banking Crisis |
| 23 March | Chinas Ministry of Commerce Rejects Coca-Colas Bid to Acquire China Huiyuan Juice Group |
| 27 February | SFC Approves Listing Rule Amendments to Extend Black Out Period for Annual Results to 60 Days |
| 13 February | HKEx Proposes Modification of the Black Out Period Extension and Moderates Position on Quarterly Reporting |
| 6 February | Changes to Designated Securities Eligible for Short Selling |
| 22 January | HKEx Proposes Mandatory Quarterly Reporting by Main Board Listed Companies from 2011 Year-End and Other HKEx Initiatives |
| 5 January | SFC Emphasises Trigger and Creeper Provisions Will Not be Relaxed and Introduces New Takeovers Code Practice Note on Confirmation of Financial Resources |
2008 |
|---|
| 31 December | Implementation of the Extension of the Black Out Period Prohibiting Directors from Dealing in Securities of Listed Issuers Deferred |
| 22 December | Consultation Conclusions on Proposed Companies Ordinance Amendments in Relation to Company Names Directors Duties Corporate Directorships and Registration of Charges Published |
| 17 December | HKEx Publishes Consultation Conclusions on Combined Consultation Proposals Listing Rule Amendments Take |
| 24 November | Listed Companies Disclosure Obligations HKEx Issues Reminder and Guidance |
| 10 November | No Change to General Offer Trigger Point and Creeper under Takeovers Code Guidelines for the Exemption of Listed Corporations from Part Xv of the SFO Amended to Facilitate Exchange-Traded Funds |
| 22 May | New Growth Enterprise Market Rules Come into Effect |
| 13 May | Hong Kong Depositary Receipt Framework to be Implemented |
| 19 March | HKEx Publishes Combined Consultation Paper on Amendments to the Listing Rules |
| 10 March | HKExs Revised Suspension Policy |
2007 |
|---|
| 19 December | SFC Proposes to Mandate Electronic Submission of Disclosure of Interests Notices and Licensed Corporations Financial Returns HKEx Signs Mou With Hochiminh and Mongolia Stock Exchanges |
| 26 November | Amendments to the Companies Ordinance Relating to Non-Hong Kong Companies |
| 14 November | Pilot Scheme Requiring the Early Posting of a Near Final Draft IPO Prospectus on the HKEx Website to Commence January 2008 |
| 6 November | Listing Decisions on pre-IPO Convertible Bond Issues |
| 8 October | SFC Publishes Guidance on Takeovers Code |
| 3 October | SFC Publishes Consultation Paper on Proposed Amendments to the Codes on Takeovers and Mergers and Share Repurchases |
| 10 September | HKEx Publishes Consultation Paper on Periodic Financial Reporting |
| 6 August | HKEx Proposes a Second Board Model for Gem Invites Responses on Consultation Paper |
| 23 July | HKEx Issues Reminder to Listed Issuers Regarding Suspension Related Matters under the Electronic Disclosure Regime |
| 20 June | SFC Adopts New Approach to Licensing of Fund Managers |
| 11 April | Abolition of the Requirement for Main Board Issuers to Publish Paid Newspaper Announcements |
| 16 March | Stock Exchange and SFC Announce Joint Policy Statement Regarding the Listing of Overseas Companies |
| 12 March | Revised Approach Adopted for the Introduction of a Statutory Listing Regime |
| 5 March | New Position Limits for H-Shares Index Futures and Options |
| 29 January | HKEx Releases Strategic Plan for 2007-2009 |
2006 |
|---|
| 6 December | Hong Kong Stock Exchange Accepts Listing of Companies Incorporated in Australia and British Colombia |
| 1 November | Abolition of Listed Issuers Short-Form Preliminary Results Announcements |
| 9 October | SFC Publishes Consultation Conclusions on Possible Reforms to the Companies Ordinance Prospectus Regime |
| 13 September | Update on New Sponsor Requirements |
| 21 August | HKEx Publishes Guide on pre-Vetting Requirements for Announcements |
| 16 August | Stock Exchange Publishes Conclusions on Abolition of the Requirement for Main Board Issuers to Publish Paid Announcements in Newspapers |
| 14 June | New Requirements for Securities Firms and New Paid-Up Share Capital Requirement for Sponsors |
| 12 May | New Sponsor Requirements |
| 7 February | SFC to Implement Securities Collateral Re-Pledging Limit in 2 Phases and HKFE Announces Revised Margins for H-Shares Index and Petrochina Futures Contracts |
| 25 January | SFC HKEx Publishes Discussion Paper on Gem |
| 18 January | Stock Exchange Proposes Abolition of Requirement for Main Board Issuers to Publish Paid Announcements in Newspapers |
2005 |
|---|
| 10 December | SFC Launches a Six-Point Plan for the Derivative Warrants Market |
| 20 October | HKEx Invites Comments on the Derivative Warrants Market |
| 3 October | Amendments to the Hedge Fund Guidelines |
| 29 September | SFC Publishes Consultation Paper on Possible Reforms to the Companies Ordinance Prospectus Regime |
| 22 September | Amendments to the Definitions of Regulated Activities in Schedule 5 of the Securities and Futures Ordinance |
| 7 September | SFC Amendments to the Codes on Takeovers Mergers and Share Repurchases |
| 28 July | SFC Publishes Consultation Conclusions on Amendments to the Disclosure of Interests Regime |
| 13 July | Proposed New Regulatory Regime For Sponsors |
| 6 June | Proposed Revision of the SFCs Guidance Note on Prevention of Money Laundering and Terrorist Financing and New Shareholder Remedies under the Companies Ordinance |
| 3 May | SFC-Authorised Funds and Unit Trusts Permitted to Invest in Listed Reits |
| 18 April | Guidelines on Analyst Conflicts of Interest |
| 29 March | Proposed Amendments to the SFO to Give Statutory Backing to Major Listing Rules |
| 15 February | SFC Issues Consultation Paper on Amendments to the Disclosure of Interests Regime |
| 26 January | Second Consultation Paper on Exemption of Offshore Funds from Hong Kong Profits Tax |
2004 |
|---|
| 2 December | Hong Kong Stock Exchanges Code on Corporate Governance Practices and Corporate Governance Report |
| 16 November | Amendments to the Listing Rules Relating to the Regulation of Sponsors and Independent Financial Advisers |
| 27 October | New Companies Ordinance Prospectus Regime |
| 23 August | Hong Kong Legal Update |
| 17 May | Summary of Changes to the GEM Listing Rules |
| 13 May | Proposed Amendments to the Listing Rules Relating to the Regulation of Sponsors and Independent Financial Advisers |
| 25 March | Amendments to The Main Board Listing Rules |
| 16 January | The Companies Amendment Ordinance 2003 |
2003 |
|---|
| 22 December | Recent Changes to the Companies Ordinance Prospectus Regime |
| 18 November | Regulation Of Offers Of Investments Under Part IV Securities And Futures Ordinance |
| 16 October | The New Licensing Regime under the Securities and Futures Ordinance |
| 1 October | Disclosure of Interests under the Securities and Futures Ordinance - Update |
| 24 September | Stabilisation under the Securities and Futures Price Stabilising Rules |
| 20 June | Proposed Increased Regulation of IPO Intermediaries |
| 2 June | Market Misconduct under the Securities and Futures Ordinance |
| 20 May | Insider Dealing under the Securities and Futures Ordinance |
| 2 April | Disclosure of Interests under the Securities and Futures Ordinance |
