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Securities Hong Kong

Jones Day

Hong Kong Stock Exchange Implements Reforms to Relax IPO "Double Dipping" Restrictions

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The Stock Exchange of Hong Kong Limited ("HKEx") introduced a new exemption allowing existing shareholders and cornerstone investors to subscribe for or purchase further securities in an IPO (i.e., to "double dip") under...more

Skadden, Arps, Slate, Meagher & Flom LLP

Hong Kong Regulatory Update - November 2023

查看中文 This update provides an overview of key regulatory developments in the third quarter relevant to companies listed, or planning to list, on The Stock Exchange of Hong Kong Limited (HKEx) and their advisers. It covers...more

Skadden, Arps, Slate, Meagher & Flom LLP

JPEX Is Test Case for Hong Kong’s New Regulatory Regime for Virtual Asset Exchanges

Hong Kong regulators recently brought criminal enforcement actions against virtual asset trading platform JPEX and individuals associated with the platform. This case has become the first opportunity for local authorities to...more

Skadden, Arps, Slate, Meagher & Flom LLP

HKEx To Permit Treasury Shares

查看中文  The Stock Exchange of Hong Kong Limited (HKEx) is proposing to permit companies listed on the exchange to hold their own shares as treasury shares and to introduce rules on companies’ resale of treasury shares. The...more

Latham & Watkins LLP

Hong Kong’s SFC Lays Out Regulatory Pathway for Tokenisation

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A new guidance creates a regulatory framework for tokenisation of retail investment products and provision of services for tokenised financial instruments. By Simon Hawkins and Adrian Fong On 2 November 2023, the Securities...more

Skadden, Arps, Slate, Meagher & Flom LLP

Hong Kong’s New Listing Rules for Specialist Technology Companies

查看中文 Following a market consultation process in late 2022, the Stock Exchange of Hong Kong Limited (HKEX) introduced a new regime to permit the listing of companies operating in specified specialist technology sectors....more

Latham & Watkins LLP

Hong Kong Continues Developing Its Virtual Asset Framework

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The latest statements from the government and regulators indicate that Hong Kong is moving forward with enhancing its virtual asset regulatory and legal regime. The Hong Kong government and the Securities and Futures...more

A&O Shearman

Regulatory Changes in Hong Kong Regarding Bookbuilding and Placing Activities

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On April 22, 2022, the Hong Kong Stock Exchange published an information paper (the “Information Paper”) outlining the consequential amendments to the Rules Governing the Listing of Securities on the Exchange following the...more

Dechert LLP

COVID-19 Coronavirus – Reporting Obligations for Hong Kong Public Companies

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In light of the global COVID-19 pandemic, some public companies in Hong Kong are struggling to meet their financial reporting obligations under the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong...more

Dechert LLP

Global Private Equity Newsletter - Winter 2020 Edition: Hong Kong Licensing Guidance for Private Equity Firms

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The Hong Kong Securities and Futures Commission (SFC) issued a circular (Circular) on January 7, 2020, which clarifies that private equity firms conducting, or holding themselves out as conducting, regulated activities in...more

Skadden, Arps, Slate, Meagher & Flom LLP

Hong Kong Stock Exchange Poised To List New Economy Companies Trading Abroad

Leading Chinese e-commerce company Alibaba, which has a primary listing on the New York Stock Exchange, made its long-awaited Hong Kong Stock Exchange (HKEx) debut in November 2019. This marked the first secondary listing in...more

Dechert LLP

SFC Takes Enforcement Action Against Private Equity Firm, a Director and Investment Manager

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The Hong Kong Securities and Futures Commission (SFC) has announced that it reprimanded and fined a Hong Kong private equity firm, SEAVI Advent Ocean Private Equity Limited (PE Firm), for employing or appointing unlicensed...more

Morgan Lewis

Licensing Requirements for Private Equity Firms in Hong Kong – Part 2

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In our first blog on Hong Kong private equity licensing, we looked at Dealing in Securities (Type 1). This second blog deals with Advising on Securities (Type 4)....more

Skadden, Arps, Slate, Meagher & Flom LLP

Hong Kong Regulatory Update - April 2019

This Hong Kong regulatory update provides an overview of key regulatory developments in the past three months relevant to companies listed (or planning to list) on The Stock Exchange of Hong Kong Limited (HKEx) and their...more

A&O Shearman

Governance & Securities Law Focus: Asia Edition, October 2018

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In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. ...more

Jones Day

Hong Kong Exchange Publishes Conclusions on Delisting Consultation

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The Situation: While a trading suspension gives an issuer an opportunity to remedy the underlying issues that led to the suspension with a view towards trading resumption, the absence of a mechanism under Hong Kong's current...more

Dechert LLP

Financial Services Quarterly Report - First Quarter 2018: Hong Kong SFC Publishes Consultation Proposals on Public Fund...

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Following an initial “soft” consultation with industry participants and relevant stakeholders, the Securities and Futures Commission (SFC) launched a three-month consultation on proposed amendments to the Code on Unit Trusts...more

Proskauer Rose LLP

US SEC and Hong Kong SFC Sign New Memorandum of Understanding

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The US Securities and Exchange Commission (SEC) and the Hong Kong Securities and Futures Commission (SFC) have signed a Memorandum of Understanding (MOU) which came into effect on January 18, 2017. The subject of the MOU is...more

Skadden, Arps, Slate, Meagher & Flom LLP

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

Dechert LLP

Global Private Equity Newsletter - Winter 2016 Edition: Hong Kong Profits Tax Exemption for Private Equity Funds

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The Inland Revenue (Amendment) (No.2) Ordinance 2015 (the “Amendment Ordinance”) came into effect on July 17, 2015, extending Hong Kong profits tax exemption to offshore private equity (“PE”) funds....more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending November 6, 2015)

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Conflicts and investment fund fraud cases were the focus this week. The SEC brought two actions in each category. In addition, a settled insider trading action was filed....more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The U.S. Chamber of Commerce published a report containing a series of recommendations regarding the SEC’s Enforcement program. Several recommendations focused on the use of administrative proceedings, including one which...more

Dorsey & Whitney LLP

Full Steam Ahead for the Through-Train – Part Two: The Shenzhen-Hong Kong Stock Connect

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The Shanghai-Hong Kong Stock Connect (“Shanghai Train”), a pilot program for establishing mutual stock market access between Mainland China and Hong Kong, was announced in April 2014 by Premier Li Keqiang at the Boao Forum...more

Akin Gump Strauss Hauer & Feld LLP

The CSRC and the SFC Announces Launch of the Mainland-Hong Kong Mutual Recognition of Funds Scheme

Introduction - On May 22, 2015, the Hong Kong Securities and Futures Commission (“SFC”) and the China Securities Regulatory Commission (“CSRC”) issued a joint announcement on the decision to implement the Mainland-Hong...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The broken windows approach to enforcement continued this week. The Commission bundled together eight settled administrative proceedings centered on going private transactions in which the Respondents failed to update their...more

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