John Chrisman

John Chrisman

Dorsey & Whitney LLP

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Hong Kong Securities Laws Violations: The SFC’s Extra-Territorial Reach – Part 2 (U.S. short-seller found culpable of market...

Hong Kong’s Market Misconduct Tribunal (the "MMT") has found U.S.-based Andrew Edward Left culpable of market misconduct in connection with his research report (“Left’s report”), published on June 21, 2012 on a U.S.-based...more

10/21/2016 - Enforcement Actions Hong Kong Hong Kong Securities and Futures Commission (HKSFC) Misleading Statements SEC Securities Fraud

China-Hong Kong Connect - Part 6: Approval of Shenzhen-Hong Kong Train

In November 2014, the Shanghai-Hong Kong Stock Connect (the“Shanghai-Hong Kong Train”), a pilot program for establishing mutual stock market access between Mainland China and Hong Kong, was officially launched. The new...more

8/30/2016 - China HKEx Hong Kong Shanghai Stock Exchange Stock Connect

Listing Indian Companies on the Hong Kong Stock Exchange

India is now included as an “acceptable jurisdiction” by The Stock Exchange of Hong Kong Limited (the “HKEx”). The HKEx also published a new “Country Guide – India” (the “India Guide”) relating to India-incorporated issuers....more

7/19/2016 - China Corporate Issuers Financial Reporting Foreign Investment Global Depositary Receipts (GDRs) HKEx Hong Kong Hong Kong Securities and Futures Commission (HKSFC) Hong Kong Stock Exchange India IOSCO Joint Policy Statements Listing Rules Listing Standards Shareholder Protection Agreements

Hong Kong Securities Laws Violations: SFC’s Case Against Moody’s – Part 2

On March 31, 2016, the Securities and Futures Appeals Tribunal (“SFAT”) upheld the disciplinary action of the SFC against Moody’s. This landmark decision is the first of its kind, as a disciplinary action brought by the...more

6/15/2016 - Credit Rating Agencies Due Diligence Enforcement Actions Fines Hong Kong Hong Kong Securities and Futures Commission (HKSFC) Internal Controls Jurisdiction Moody's

China-Hong Kong Connect: An Interconnected World

In November 2014, the Shanghai-Hong Kong Stock Connect (the ‘‘Shanghai Train’’), a pilot program for establishing mutual stock market access between mainland China and Hong Kong, was officially launched. The new cross-border...more

3/25/2016 - China Commodities Derivatives Foreign Investment HKEx Hong Kong Hong Kong Securities and Futures Commission (HKSFC) Initial Public Offerings London Stock Exchange Shanghai Stock Exchange Stock Markets

Hong Kong Market Misconduct: The SFC’s Extra-Territorial Reach

The Securities and Futures Commission of Hong Kong (the “SFC”) recently initiated proceedings for alleged market misconduct against U.S.-based Andrew Edward Left in connection with his research report (“Left’s report”)...more

3/21/2016 - Extraterritoriality Rules Hedge Funds Hong Kong Hong Kong Securities and Futures Commission (HKSFC) Jurisdiction Misleading Statements Moody's Negligence Professional Misconduct Recklessness

China-Hong Kong Connect – Part Five: An Interconnected World

In November 2014, the Shanghai-Hong Kong Stock Connect (the “Shanghai Train”), a pilot program for establishing mutual stock market access between mainland China? and Hong Kong, was officially launched. The new cross-border...more

2/16/2016 - Bonds China Commodities Derivatives Foreign Investment HKEx Hong Kong Initial Public Offerings London Metal Exchange London Stock Exchange Metals Shanghai Stock Exchange Stock Markets

China-Hong Kong Connect – Part Four: The Shenzhen Train Delay

In November 2014, the Shanghai-Hong Kong Stock Connect (the “Shanghai Train”), a pilot program for establishing mutual stock market access between mainland China and Hong Kong, was officially launched. The new cross-border...more

11/16/2015 - China Foreign Investment HKEx Hong Kong Stock Exchange Shanghai Stock Exchange

Can an Enforcement Standard be Discerned from the SFC’s Case Against Moody’s?

The hearings have recently concluded in Moody’s appeal of the November 24, 2014 decision of Hong Kong Securities and Futures Commission (the “SFC”) to fine Moody’s HK$23 million for its release of a report applying a “red...more

11/3/2015 - Credit Rating Agencies Due Diligence Emerging Markets Enforcement Actions Fairness Standard Fines Free Speech Hong Kong Hong Kong Securities and Futures Commission (HKSFC) Internal Controls Moody's

Weighted Voting Rights in Hong Kong: Hopes Dashed (For Now) - Part 3

In Part 1 of this eUpdate series, we discussed the reasons why Hong Kong regulators did not approve of share structures with disproportionate voting rights, also known as the “weighted voting rights” (“WVR”) structures in...more

10/15/2015 - Hong Kong Hong Kong Securities and Futures Commission (HKSFC) Hong Kong Stock Exchange Policy Drafting Shareholder Rights Voting Rights

Weighted Voting Rights In Hong Kong: Hopes Raised High But... – Part 2

In Part 1 of this eUpdate series, we discussed the reasons why Hong Kong regulators did not approve of share structures with disproportionate voting rights, also known as the “weighted voting rights structures” in Hong Kong...more

7/15/2015 - Emerging Technology Companies Hong Kong Hong Kong Securities and Futures Commission (HKSFC) Hong Kong Stock Exchange Investors Shareholders Voting Rights

Open Sesame? Not for now, Alibaba – Part 1

For months Alibaba Group Holding Limited (“Alibaba”) had tried to convince the Stock Exchange of Hong Kong Limited (“SEHK”) that they should open their doors to the internet giant. Alibaba had proposed a system through which...more

4/28/2014 - Alibaba Corporate Governance Hong Kong Stock Exchange IPO Shareholders

Shedding Light on China’s Massive Shadow Banking Market - Landmark Corporate Bond Default - Part 1

The debt level of the PRC is rising. It is estimated that the PRC’s corporate debt could hit US$13.8 trillion in 2014, surpassing that of the United States (“U.S.”) as the largest in the world. This has raised increasing...more

3/13/2014 - Bonds China Corporate Bonds Debt Default Shadow Banking

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