News & Analysis as of

Hong Kong Securities and Futures Commission

Financial Services Quarterly Report - First Quarter 2017: Hong Kong’s New Requirements for “Senior Management” of Fund Managers...

by Dechert LLP on

The Securities and Futures Commission of Hong Kong (SFC) recently introduced the “Senior Management Accountability Regime” (regime), in an effort to make senior managers (particularly those who are not already designated as...more

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

Financial Services Quarterly Report - Second Quarter 2016: The Hong Kong Professional Investor Regime

by Dechert LLP on

Similar to the situation in many other jurisdictions, fund managers, banks and other market participants in Hong Kong were, until recently, not required to apply the same regulations to high net worth, corporate or...more

ESMA and SFC agree derivatives MoU

by Dentons on

ESMA and the Securities and Futures Commission (SFC) of Hong Kong have concluded a memorandum of understanding (MoU), the first that will allow the exchange of information on derivative contracts held in trade repositories....more

Virtual Currencies: International Actions and Regulations

by Perkins Coie on

This chart is provided by Perkins Coie LLP’s Decentralized Virtual Currency industry practice group for informational purposes only and is not legal advice. This information is not intended to create, and receipt of it does...more

The Financial Report - Volume 4, No. 11 • June 2015 (Global)

by DLA Piper on

FRB will extend high-quality liquid asset status to some state and municipal bonds. The FRB has proposed a rule that would recognize certain general obligation state and municipal bonds meeting the same liquidity...more

The Financial Report - Volume 4, No. 10 • May 2015 (Global)

by DLA Piper on

Discussion and Analysis - One of the earliest, and certainly one of the most famous, computers of all time is HAL 9000, the sentient computer that controls the systems of the Discovery One spacecraft and interacts with...more

SFC Guidance on Corporate Professional Investors Assessment and Description of Services in Client Agreements

by K&L Gates LLP on

On 22 January 2015, the Securities and Futures Commission of Hong Kong (SFC) issued a set of frequently asked questions to provide practical guidance on the criteria and application of the new principles based assessment for...more

ESMA and Hong Kong SFC Agree MoU for Covered CCP Supervision

On January 16, the European Securities and Markets Authority (ESMA) and the Securities and Futures Commission (SFC) of Hong Kong agreed on a Memorandum of Understanding (MoU) regarding regulatory cooperation and arrangements...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

Launch Date Announced for the Shanghai-Hong Kong Stock Connect

by K&L Gates LLP on

The Shanghai-Hong Kong Stock Connect (Stock Connect Scheme) is a pilot programme for establishing mutual stock market access between Mainland China and Hong Kong. According to an announcement made jointly by the Hong Kong and...more

Conclusion of Consultation Paper on Proposed Amendments to Hong Kong Professional Investor Regime

The Hong Kong Securities and Futures Commission (SFC) issued a consultation paper titled “Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreement Requirements on 15 May 2013”...more

Audit Firm Ordered To Disclose PRC Working Papers To SFC Despite PRC "State Secrets Law" Concerns

by DLA Piper on

On 23 May 2014, the Securities and Futures Commission of Hong Kong ("SFC") successfully obtained an order from the High Court of Hong Kong requiring Ernst & Young Hong Kong ("E&Y") to produce all audit working papers prepared...more

Key issues for asset managers in 2014

by Allen & Overy LLP on

In this newsletter - U.S.: - Dodd-Frank Act – Designation of asset managers as systemically important financial institutions - Volcker Rule finalised with a more limited application to covered fund activities...more

Hong Kong Securities and Futures Commission Consults Public on Proposed REIT Code Amendments

by Latham & Watkins LLP on

Recognizing the recurrent income generating product nature, the SFC may lift some restrictions on investment scope for Hong Kong listed REITs. On 27 January 2014, the Securities and Futures Commission (SFC) commenced...more

A new era for overseas listings in Hong Kong - Part Two

by Dorsey & Whitney LLP on

This eUpdate is the second in a two part series examining the effect of the changes under the “Joint policy statement regarding the listing of overseas companies” on the Exchange (the New JPS) released in late September by...more

Hong Kong Capital Markets Quarterly News -- October 2013

by Morrison & Foerster LLP on

In This Issue: New Sponsor Regime – Guidance Letters; Policy on Listing Overseas Companies; New Listing Decisions; New Guidance Letters; and Enforcement News Excerpt from New Sponsor Regime – Guidance Letters:...more

"Hong Kong Stock Exchange and SFC Release New Joint Policy Statement on Listing of Overseas Companies in Hong Kong"

Introduction - In March 2007, The Stock Exchange of Hong Kong Limited (the HKEx) and the Securities and Futures Commission of Hong Kong (the SFC) issued a joint policy statement on the listing of overseas companies in...more

Asia: Corporate Newsletter - August 2013

by DLA Piper on

Listing rule changes regarding the new IPO sponsors regime - The much anticipated new regulatory regime for IPO sponsors will come into effect this October. Details of the reforms under the new regime have been...more

Hong Kong Stock Exchange Revises Listing Rules to Implement New Regime for Hong Kong IPOs

Overview In December 2012, the Securities and Futures Commission of Hong Kong (SFC), the securities regulatory watchdog in Hong Kong, initiated a new sponsor regime by imposing enhanced conduct requirements on...more

Update on the Hong Kong-PRC Mutual Fund Recognition Scheme

by Dechert LLP on

It has been a busy summer for securities regulators in Hong Kong and on the Mainland. Recent press coverage indicates that the regulators are closer now to making the Mutual Fund Recognition Scheme (the “Scheme”) a reality,...more

Hong Kong Stock Exchange Publishes Rule Changes to Complement SFC’s New Sponsor Regime

by Morrison & Foerster LLP on

On July 23, 2013, the Hong Kong Stock Exchange published changes to its Listing Rules which complement the SFC’s new regime regarding sponsors. Both sets of changes will come into effect on October 1, 2013, except for two of...more

Hong Kong Capital Markets Quarterly News -- July 2013

by Morrison & Foerster LLP on

In This Issue: Consultations; New Listing Decisions; Regulatory Watch; New Guidance Letters; and Enforcement News. Excerpt from Consultations - Exchange’s Consultations on Review of Connected Transaction...more

Outline of the Hong Kong Stock Exchange Rule Changes to Complement New Sponsor Regulations

On July 23, 2013, the Stock Exchange of Hong Kong Limited (the Exchange) published amendments to the rules governing the listing of securities on the exchange (the Listing Rules) and issued additional guidance to complement...more

"Hong Kong Public M&A: Time for a New Approach?"

For any potential bidder considering the acquisition of a listed company, issues such as ease of transaction execution, the ability to respond to a competing offer, timetable and cost will be of great importance. The chosen...more

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