News & Analysis as of

HKEx

Reminder that the List of Securities Subject to Hong Kong Short Position Reporting will be Expanded with Effect from 15 March 2017

Market participants are currently only required to report short positions in 138 SEHK-listed securities (in accordance with the list of specified shares published by the Securities and Futures Commission (SFC) on 10 February...more

Has Hong Kong tightened GEM rules far enough?

by Locke Lord LLP on

Hong Kong’s stock exchange and securities regulator are jointly warning market participants that they are ready to crack down on suspected rule-breaking with respect to listings and share placements on the Growth Enterprise...more

Hong Kong Regulatory Update - October 2016

This Hong Kong regulatory update provides a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock Exchange of Hong...more

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

by Dorsey & Whitney LLP on

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

Listing Indian Companies on the Hong Kong Stock Exchange

by Dorsey & Whitney LLP on

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

"Recent Developments in the Use of Variable Interest Entities"

The variable interest entity (VIE) structure has been around since the listing of Sina.com on the Nasdaq Stock Market in 2000. It enables companies to exercise control over operating entities and derive economic benefits from...more

"Hong Kong Regulatory Update - June 2016"

This Hong Kong regulatory update provides a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock Exchange of Hong...more

LMEShield and other developments – the LME’s continuing pivot to Asia

by Reed Smith on

The announcement of the LMEShield initiative arrives off the back of a number of other Asia focused developments for the LME. The LMEShield initiative takes the LME yet one step further towards its desire of having LME...more

Hong Kong Market Misconduct: SFC Extends Enforcement Power to Insider Dealing in Overseas Listed Securities – Part 2

by Dorsey & Whitney LLP on

Section 300 of the Securities and Futures Ordinance (the “SFO”) prohibits the use of fraudulent or deceptive schemes or engagement in any practice which is fraudulent or deceptive “in a transaction involving securities,...more

China-Hong Kong Connect: An Interconnected World

by Dorsey & Whitney LLP on

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

Hong Kong Regulatory Update - March 2015

This Hong Kong regulatory update provides a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock Exchange of Hong...more

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

by Dorsey & Whitney LLP on

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

"Acquisitions of Controlling Interests in Hong Kong-Listed Companies Through Primary Issuances"

Acquisitions that result in a change of control of a Hong Kong-listed company — defined as 30 percent or more of the voting power — trigger a mandatory general offer to all shareholders of the company. The Hong Kong...more

Hong Kong Regulatory Update - December 2015

This Hong Kong regulatory update provides a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock Exchange of Hong...more

Market Volatility Delays Shenzhen-Hong Kong Stock Scheme Launch

by Locke Lord LLP on

On November 17, 2015, at a ceremony in Hong Kong marking the first anniversary of the Shanghai-Hong Kong Stock Connect scheme, Hong Kong Exchanges and Clearing (HKEx) chief executive Charles Li Xiaojia confirmed that the...more

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

by Dorsey & Whitney LLP on

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

Hong Kong Regulatory Update

This Hong Kong regulatory update is intended to provide a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock...more

Hong Kong Regulatory Update - June 2015

This Hong Kong regulatory update is intended to provide a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The SEC filed one new action this week – an administrative proceeding involving the principal of an investment adviser and undisclosed conflicts of interest. The Commission also amended a complaint in an insider trading...more

Hong Kong Regulatory Update - March 2015

This Hong Kong regulatory update is intended to provide a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock...more

Locke Lord QuickStudy: China Through-Train Investment Scheme

by Locke Lord LLP on

The eagerly anticipated Shanghai-Hong Kong Stock Connect (Stock Connect), or the so-called “through-train,” was launched on November 17, 2014, allowing foreign investors for the first time to directly buy and sell stocks...more

Hong Kong Regulatory Update - December 2014

This Hong Kong regulatory update is intended to provide a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock...more

Governance & Securities Law Focus: Latin America Edition - October 2014

by Shearman & Sterling LLP on

In this issue: - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - EU DEVELOPMENTS - European Commission...more

Governance & Securities Law Focus: Asia Edition, October 2014

by Shearman & Sterling LLP on

In this issue: - Asia DEVELOPMENT - HKEx Releases Concept Paper on Weighted Voting Rights - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law Litigation - Recent...more

Governance & Securities Law Focus: Asia Edition

by Shearman & Sterling LLP on

In this issue: - ASIAN DEVELOPMENTS - HKEx Publishes Revised Connected Transaction Rules - US DEVELOPMENTS - SEC Developments - PCAOB Adopts Auditing Standard and Amendments -...more

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