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                    Hong Kong Law

                    2018

                    4 DecemberCFA Allows Appeal on Insider Dealing of Asia Telemedia Shares
                    3 DecemberTrading Suspensions Proposed by HKEx for Auditor Disclaimers and Adverse Opinions
                    12 OctoberHong Kong Green Finance Strategic Framework Announced by SFC
                    3 OctoberListing Committee Review Structure under Consultation
                    21 SeptemberSFC Consults on Guidelines for Securities Margin Financing
                    20 AugustSFC Consults on AML and CTF Guidelines
                    15 AugustHong Kong Takeovers Code Amendments effective 13 July 2018
                    28 JulyHKEx issues Corporate Governance Code Consultation Conclusions and Guidance for Boards and Directors
                    27 JulyCCB International Capital Limited fined $24 million for sponsor due diligence failures
                    20 JulyNew Hong Kong Stock Exchange Guidance for Listing Applicants in the Internet Technology Sector
                    19 JulyHKEx Consults on Tightened HKEx Listing Rules on Backdoor Listings and Shell Companies
                    10 JulyNew Open-ended Fund Company Regime Effective 30 July 2018
                    26 JuneInvestor Compensation Regime Enhancements Proposed by the SFC
                    22 JuneHong Kong Listing Rule Changes on Delisting effective 1 August
                    15 JuneVirtual Bank Authorisation: HKMA Issues New Guideline
                    11 JuneHong Kong Stock Exchange Reports on Financial Statements Review 2017
                    7 JuneHKMA Circular on Credit Risk Management for Personal Lending Business
                    5 JuneSecurities and Futures Professional Investor Rules Amendments
                    2 JuneCorporate misconduct: SFC outlines its regulatory approach
                    31 MayListing Rules on Capital Raisings by Listed Issuers Tightened by HKEx
                    29 MaySFC Outlined Market Regulation Approach and fined Citigroup
                    18 MayHong Kong Monetary Authority to Launch Pilot Bond Grant Scheme
                    26 AprilSFC Guidelines on Online Platforms and Advisory Services
                    25 AprilNew Rules for Listing Biotech Companies on Hong Kong Stock Exchange
                    23 AprilConsultation Conclusions on WVR Listings
                    11 AprilSFC and CSRC increase daily quotas for Mainland-Hong Kong stock connect
                    10 AprilContinued deficiencies in sponsor work identified by SFC
                    14 MarchSFC and Exchange sign addendum to MOU Governing Listing Matters
                    23 FebruaryHK Stock Exchange Consults on Listings of Emerging and Innovative Companies
                    23 FebruarySFC Fines IBHK concerning Electronic and Algorithmic Trading Systems
                    9 FebruarySFC Consults on Takeovers Code Changes

                    2017

                    19 DecemberAmendments to HKEx’s Main Board and GEM Listing Rules Take Effect on 15 February 2018
                    15 DecemberHK Exchange to Allow Main Board Listings of Innovative Companies with Weighted Voting Rights and Pre-revenue Biotech Companies
                    20 DecemberHKEx Listing Decisions on Sufficiency of Assets/Operations for Continued Listing
                    12 DecemberHKEx Consults on Documentary Requirements for Listed Issuers
                    5 DecemberHKEx Consults on Review of Corporate Governance Code
                    16 NovemberConsultation Paper on Capital Raisings by Listed Issuers
                    8 NovemberInternet Trading Hacking Risks - New SFC Guidelines
                    30 OctoberExtension of Profits Tax Exemption to Offshore Private Equity Funds in 2015
                    27 OctoberUpdates on New Board Concept Paper
                    29 SeptemberSFC Regulatory Sandbox Launched and HKMA Announces New Era of Smart Banking
                    29 SeptemberHong Kong Stock Exchange issues a Consultation Paper on Delisting and Other Rule Amendments
                    21 SeptemberTakeovers Executive Sanctions for Breach of Mandatory General Offer Obligation
                    18 SeptemberJoint Consultation Conclusions on Proposed Changes to Hong Kong Listing Regulation Released
                    1 SeptemberFinancial Resources Rules: SFC’s Consultation Conclusions and Further Consultation on Changes
                    30 AugustCharltons emphasises Hong Kong’s “super connector” role at the Belt and Road Forum in Chengdu
                    21 AugustCompanies (Amendment) Bill 2017 introduces Significant Controllers Register
                    8 AugustSFC Proposes Rules and Code for Open-ended Fund Companies (OFCs)
                    11 JulyIssuers' Annual Reports Disclosure Review by HKEx
                    11 JulyTVB ruling on whitewash waiver by Takeovers Panel
                    7 JulyAML (Anti-Money Laundering) and Counter-Terrorist Financing Bill
                    6 JulyBVI Beneficial Ownership Secure Search System Act 2017
                    5 JulySFC clarifies Requirements for Asset Management Activity
                    27 JuneSFC Circular on Responsible Officers and Substantial Shareholders
                    24 JuneChanges to the GEM Rules and Main Board Rules Proposed by the HKEx
                    23 JuneSFC Issues Statement on Listing of Infrastructure Project Companies
                    22 JuneHKEx Consults on Proposed New Board for New Economy Companies
                    15 JuneMainland-Hong Kong Bond Market Connect to be Established
                    14 JuneSFC Elaborates on the Liabilities of Directors and Senior Executives of Listed Companies and Senior Management Accountability
                    9 JuneSFC Authorisation for Leveraged and Inverse Products
                    26 MayBackdoor Licensing, Managers-In-Charge of Core Functions and the Legal Liabilities of Senior Management
                    19 AprilSFC Publishes Statement on Recent GEM Listing Applications and the Requirement for an Open Market
                    22 MarchSFC Publishes Consultation on Amendments to the Professional Investor Rules
                    2 FebruarySFC and HKEX Impose New Requirements for Listing Applicants, Sponsors, Underwriters and Placing Agents of GEM IPOs
                    26 JanuaryHong Kong is World’s Top IPO Fundraising Market in 2016 while Listed Debt Turnover Rises 126 percent on 2015
                    23 JanuarySFC Issues New Guidance on Licensed Intermediaries’ Suitability Obligations
                    13 JanuaryNew SFC Measures to Increase the Accountability of Licensed Corporations’ Senior Management

                    2016

                    30 DecemberSFC Consults on Proposals to Tighten Regulation of Fund Managers and Point-of-sale Disclosure
                    22 DecemberHKEX Issues Guidance on "Ownership and Control" Requirement for Listing Applicants and Issues Relevant to Controlling Shareholders (HKEx-GL89-16)
                    20 DecemberRights Issues and Open Offers that Significantly Dilute Minority Shareholding Interests Face Closer SFC and HKEx Scrutiny
                    2 DecemberShenzhen-Hong Kong Stock Connect to Launch on 5 December 2016
                    21 NovemberHKEX/SFC Joint Consultation: Proposed Enhancements to the Stock Exchange of Hong Kong Limited’s Decision-making and Governance Structure for Listing Regulation
                    23 SeptemberSFC Reprimands and Fines HSBC HK$2.5 Million Over Regulatory Breaches
                    22 AugustShenzhen-Hong Kong Stock Connect Gets Green Light
                    19 AugustSFC Publishes 2015 Fund Management Activities Survey
                    1 AugustHong Kong And Russia Double Taxation Agreement Comes Into Force
                    27 JulySFC CEO Mr. Ashley Alder's Remarks at Hedge Fund Standards Board Institutional Investor Roundtable
                    25 JulyLatest Guidance on Pooled Property Arrangements and Crowdfunding Property Investments
                    15 JulySFC Takeovers Bulletin No. 37 on Takeovers Code Breaches and Regulatory Reminders
                    24 JuneJoint Consultation Paper Issued on Proposed Changes to Hong Kong Listing Regulation
                    13 JuneHKEx Publishes Guidance for Offshore Retail Funds Applying to List in Hong Kong
                    3 JuneHong Kong Stock Exchange Publishes New Guidance on IPO Vetting and Suitability for Listing
                    2 JuneMemorandum of Understanding Entered into between Hong Kong International Arbitration Centre and the Russian Arbitration Association
                    27 MayHong Kong’s Takeovers Panel Rules that Alibaba Breached Takeovers Code due to “Special Deal”
                    23 MayChina’s NDRC to Simplify Outbound Investment Rules
                    16 MayHong Kong Stock Exchange Publishes Guidance Letter on Bonus Issues of Shares
                    13 MayHKEx Publishes Listing Decisions on Reasons for Rejection and Return of New Listing Applications
                    28 AprilSFAT Reprimands and Fines Moody’s HK$11 million over Red Flags Report on Chinese Companies
                    30 AprilInsider Dealing in Securities Listed Offshore: High Court Interprets Section 300 SFO in Landmark Case
                    20 AprilSFC Commences Market Misconduct Proceedings for Alleged Breaches of Inside Information Disclosure Requirements
                    20 AprilHong Kong Stock Exchange Publishes Guidance Letter for Issuers Subject to Rumours or Market Commentaries
                    6 AprilSFC Publishes Consultation Conclusions on Principles of Responsible Ownership
                    29 MarchNew Open-Ended Fund Company Structure for Hong Kong Funds to be Introduced Under the Securities and Futures (Amendment) Bill 2016
                    18 MarchAmendments to the Hong Kong Professional Investor Regime Take Effect on 25 March 2016
                    9 MarchHong Kong SFC Publishes Circular on Requirements for Authorisation of Leveraged and Inverse Products Structured as ETFs
                    7 MarchSFC Concludes on Expanding Scope of Short Position Reporting
                    4 MarchHKMA and SFC Publish Draft Rules Introducing Mandatory Clearing and Expanding Mandatory Reporting for OTC Derivatives
                    26 FebruaryThe Contracts (Rights of Third Parties) Ordinance – the Impact on Hong Kong Contracts
                    19 FebruaryHong Kong Stock Exchange Publishes Listing Document Simplification Guide
                    29 JanuaryNew Report Sets Out Proposals to Boost Hong Kong as a Fund Distribution Centre
                    29 JanuaryHong Kong Stock Exchange Strategic Plan 2016-2018
                    20 JanuaryHong Kong And Russia Sign Double Taxation Agreement
                    19 JanuaryComply or Explain ESG Reporting for Hong Kong Listed Companies for Financial Years Starting from 1 January 2016
                    15 JanuaryHKEx Paves the Way for Russian Companies to List in Hong Kong
                    12 JanuarySFC Consults on Changes to the Guidelines for Regulation of Automated Trading Services

                    2015

                    31 DecemberHKEx Targets Backdoor Listings in Application of Cash Company Rules to Large Scale Fundraisings
                    31 DecemberSFC Consults on Expanding the Scope of Short Position Reporting
                    23 DecemberSuitability Requirement to Become Mandatory Provision of Client Agreements Under SFC Code Amendments
                    22 DecemberHKEx Provides Further Guidance on Significant Distributions of Unlisted Assets by Listed Issuers
                    23 NovemberHKEx Approves India as Acceptable Jurisdiction of Incorporation for Listing Applicants
                    11 NovemberHong Kong Law Reform Commission Consults on Third Party Funding for Arbitration
                    11 NovemberExchange Publishes Guidance on Continuing Obligations of Issuers and Guarantors of Listed Debt Securities
                    28 OctoberTakeovers Panel Upholds Executive’s Decision that No Mandatory General Offer Obligation Arose for China Oriental
                    26 OctoberHKEx Proposes “London-Hong Kong Connect” to Link Commodities Markets
                    16 OctoberSFC launches Pilot Initiatives to Enhance Fund Authorisation Process
                    14 OctoberHong Kong Drops Weighted Voting Rights
                    9 OctoberHong Kong Stock Exchange Publishes Consultation Conclusions on Volatility Control Mechanism and Closing Auction Session
                    15 SeptemberHKEx Consults on Introduction of “Comply or Explain” Environmental, Social and Governance Reporting
                    12 AugustExchange Publishes Guidance on Mixed Media Offers
                    10 AugustErnst & Young Discontinues Appeal over Producing Chinese Audit Working Papers to SFC
                    5 AugustSFC Fines Licensed Entity HK$4.5 million for Delay in Reporting Trader’s Misconduct
                    31 JulySFC Brings First Action for Breach of Listed Companies’ Obligation to Disclose Inside Information under Part XIVA Securities and Futures Ordinance
                    24 JulyHong Kong Accountants’ Exemption from Restrictions on Foreign Accountants Auditing Chinese Companies Listing Offshore
                    17 JuneExchange Publishes Guidance on Issue of Convertible Securities by Listed Issuers
                    10 JuneMainland-Hong Kong Mutual Recognition of Funds Initiative to Launch on 1 July 2015
                    22 MaySFC Publishes Update on Intermediaries' KYC and Account Opening Obligations
                    18 MayHong Kong Listing Rule Amendments to Reflect New Financial Information Disclosure and Other Requirements
                    14 MayHong Kong Stock Exchange 2015 Listing Decisions: Regulatory Breaches Impact Cash Flow Calculation and Controlling Shareholders' Post-IPO Lock-up Explained
                    12 MayNew SFC Guidance on Inside Information and Listing Document Disclosure and Appropriateness of IPO Incentive Schemes
                    12 MayChina Adds 3 New FTZs and Introduces New National Security Review Procedures for Foreign Investments in FTZs
                    30 AprilCourt of Final Appeal Ruling: Pacific Sun Advisors and its Director Acquitted of SFO Offence re. Unauthorised Issue of Fund Advertisements
                    25 MarchNew Pre-Trade Checking Model for Trading A Shares under Shanghai-Hong Kong Stock Connect
                    24 MarchHong Kong Stock Exchange to Issue Conclusions on Weighted Voting Rights
                    16 MarchHong Kong Profits Tax Exemption to be Extended to Offshore Private Equity Funds 2015
                    10 MarchHKEx Consults on Volatility Control Mechanism and Closing Auction Session 2015
                    4 MarchSFC Bans Ping An Former CEO for 1 Year over Internal Control Failures 2015
                    2 MarchShort Selling of A Shares via Shanghai-Hong Kong Stock Connect Starts Monday, 2 March
                    26 FebruaryUS SEC Settles Dispute with Big Four Accountants over Chinese Accounting Records Access
                    16 FebruaryRussia to sign IOSCO MMoU clearing the way for Russian companies to list on the Stock Exchange of Hong Kong
                    12 FebruaryThe 10 Most Important Things to Know about China New Foreign Investment Law
                    10 FebruaryStamp Duty Exemption for Hong Kong-Listed ETFs Effective Friday, 13 February 2015
                    2 FebruaryExchange Updates Guidance on IPO Listing Document Disclosure relating to Material Changes after Trading Record Period
                    17 JanuaryHong Kong Stock Exchange Publishes Listing Decision on Controlling Shareholders' Post-IPO Lock-up Restrictions
                    18 JanuaryHong Kong Corporate Finance Regulation - 2014 Highlights and the Year Ahead
                    9 JanuaryMoody's Appeals SFC's Disciplinary Action: Latest Developments
                    2 JanuarySFC Consults on Greater Information Gathering Powers on Licensed Corporations to Assist Overseas Regulators

                    2014

                    31 DecemberHong Kong-China Mutual Recognition of Funds (MRF) Scheme Nears Implementation
                    24 DecemberSFC Starts Market Misconduct Proceedings over Alleged False Research Report
                    24 DecemberHong Kong Law Change Introduces Three Days Paternity Leave
                    18 DecemberReporting and Record-keeping Obligations re OTC Derivative Transactions
                    4 DecemberDocument Execution at Virtual Signings and Closings
                    1 DecemberChina Consults on 2014 Draft of Foreign Investment Catalogue
                    10 NovemberShanghai-Hong Kong Stock Connect to Commence Monday
                    6 NovemberHK Exchange Updates Listing Rule Guidance
                    29 OctoberExchange Listing Rule Amendments re Financial Information Disclosure under Companies Ordinance
                    13 OctoberSFC Publishes Consultation Conclusions on Amendments to the Professional Investor Regime and Further Consultation on Client Agreement Requirements
                    8 OctoberSFC Takeovers Update - Takeovers Bulletin No 30
                    29 SeptemberHKEx Publishes Concept Paper on Weighted Voting Rights
                    10 SeptemberHKEx Stops Initial Check of IPO Application Proofs
                    29 AugustSFC Drops Proposed Amendments to Sponsors Prospectus Liability Provisions
                    20 AugustSFC Comments to Focus on Substantive Takeovers Code Issues
                    18 AugustFSTB Publishes Consultation Conclusions on Improving Corporate Insolvency Law and Proposals for a New Statutory Corporate Rescue Procedure
                    8 AugustHKMA-SFC Consult on Rules Imposing Mandatory Reporting Obligations for OTC Derivative Transactions
                    5 AugustFSDC Publishes Recommendations for Positioning Hong Kong as a Preferred International Listing Venue
                    1 AugustFSTB Consults on Increasing Independence of Regulatory Regime for Listed Entity Auditors
                    29 JulyTakeovers Panel rules the Codes apply to SouthGobi Resources Limited
                    7 JulySFC Proposes Additional Exemptions from Part XV Disclosure Requirements
                    2 JulySFC Publishes Assessment Questions for Effective Business Continuity Plans
                    30 JuneThe Exchange Consults on Internal Controls Section of the Corporate Governance Code
                    13 JunePRC Ministry of Finance Releases Draft Regulations on Cross-Border Audit Services
                    12 JuneHong Kong Stock Exchange Publishes Guidance Letter on Reverse Takeover Rules
                    11 JuneExchange Publishes Guidance on Listed Issuers Use of Structured Contracts
                    10 JuneSFC Launches Online System for Dealing Disclosures under Takeovers Code
                    9 JuneCourt Orders EY to Produce Accounting Records to SFC
                    27 MaySFC Reprimands and Fines ICBCI and Deutsche Bank
                    22 MayExchange Publishes Further Information on Shanghai-Hong Kong Stock Connect
                    16 MayExchange Issues Guidance on Opinion Letters Prepared By Independent Financial Advisers
                    9 MaySFC Issues Notice on Risks and Potential Regulatory Issues of Crowd-Funding
                    23 AprilHKEx to Launch its First Asia Commodities Contracts
                    16 AprilFSTB Consults on Open-Ended Fund Company Structure
                    14 AprilExchange Reviews Disclosure in Annual Reports to Monitor Rule Compliance
                    11 AprilLinking of Shanghai and Hong Kong Stock Exchanges
                    11 AprilExchange Publishes New Guidance on Placing Shares to Connected Clients for Independent Third Parties
                    8 AprilRevised Connected Transaction Rules to Take Effect
                    3 AprilExchange Introduces New Headline Categories for Announcements
                    2 AprilSponsor Regime Update - Initial 3-Day Check
                    28 MarchSFC Consults on the Regulation of Alternative Liquidity Pools
                    14 MarchHK Government Proposals for Resolution Regime for Financial Institutions
                    11 MarchInformation on Listing Applications since the New Sponsor Regime
                    7 MarchSFC Proposes Amendments to the Code on REITs
                    5 MarchRule Amendments - Annual Listing Fees FAQs Following the New Companies Ordinance
                    28 FebruaryNew Companies Ordinance - Relating to Memorandum, Articles of Association
                    27 FebruaryHong Kong Companies Ordinance-Schemes Amalgamations
                    26 FebruaryNew Companies Ordinance - Financial Reporting
                    24 FebruaryNew Companies Ordinance - Registration of Charges
                    20 FebruaryNew Companies Ordinance - Company Administration and Procedure
                    13 FebruaryNew Companies Ordinance - Share Capital
                    12 FebruaryNew Companies Ordinance - Changes Affecting Directors
                    7 FebruaryExchanges Decision on Breach of Rules on Price Sensitive Information
                    5 FebruaryNew Guidance on the Applicable Laws and Regulations section
                    28 JanuaryHong Kong Stock Exchange Issues New and Updated Guidance Letters
                    14 JanuaryIncrease in Inside Information Announcements and Additional FAQs

                    2013

                    24 DecemberHong Kong Stock Exchange Publishes 20 Country Guides for Acceptable Jurisdictions of Incorporation
                    23 DecemberSFC To Step Up Oversight Of Corporate Conduct
                    18 DecemberHong 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 OctoberSFC Publishes FAQ on the New Sponsor Regime
                    11 OctoberSFC Issues Takeovers Bulletin on Dealing Disclosures under Rule 22 and the Exemption from Rule 109 for Companies with Dual Listing
                    9 OctoberStock Exchange and SFC Issue Updated Joint Policy Statement Regarding the Listing of Overseas Companies
                    30 SeptemberNew 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 SeptemberExchange Publishes Guidance on Resumption of Long Suspended Companies
                    19 SeptemberSFC Issues Guidelines on the Application of the CPSS-IOSCO Principles for Financial Market Infrastructures
                    18 SeptemberExchange Issues Guidance on Documentary Requirements and Administrative Matters Relating to New Listing Applications
                    17 SeptemberExchange Provides Guidance on Confirmations from Reporting Accounts on Historical Financial Information
                    16 SeptemberExchange 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 SeptemberExchange Sets Out Guidance on Logistical Arrangements for the Publication of Application Proofs Post Hearing Information Packs and Related Materials
                    30 AugustStock Exchange Publishes Updated Guidance on Waiver Applications for New Mineral Companies under Main Board Rule
                    29 AugustSFC Issues Takeovers Bulletin on Disqualifying Transactions under the Whitewash Guidance Note and Application of Rule 201B to Share Repurchases By Partial Offer
                    13 AugustExchange Publishes FAQ on Listing Rule Changes to Complement the Securities and Futures Commissions New Sponsor Regulation
                    13 AugustExchange Publishes Listing Rule Changes to Come into Effect Regarding New Statutory Regime on the Regulation of Sponsors
                    22 JulyHKEx Incorporates Listing Decision LD45-3 Regarding Conditions for Waiver from Strict Compliance with Gem Listing Rules into Guidance Letter GL25-11
                    8 JuneHong Kong Stock Exchange Publishes Listing Decision on whether Deteriorating Financial Performance After Track Record Period and Other Factors Rendered Applicant Unsuitable for Listing
                    6 JuneHong Kong Stock Exchange Publishes Listing Decisions on Rights Issues and Spin-Offs
                    4 JuneCourt of Final Appeal Hands Down Landmark Ruling on the Application of Section 213 of the SFO
                    3 JuneSFC Publishes Consultation Paper on the Professional Investor Regime
                    29 MayStock Exchange Publishes Guidance on Listing Document Risk Factors Disclosure
                    27 MayHong Kong Stock Exchange Publishes Consultation Papers on Connected Transaction Rules
                    13 MayExchange Publishes FAQ on Listing Rule Changes Consequential on the Statutory Regime for Disclosure of Inside Information
                    26 AprilSFC Publishes Frequently-Asked-Questions on Chinese Walls Requirement
                    19 AprilHong Kong Stock Exchanges Publishes Three Listing Decisions on Reverse Takeovers
                    19 AprilHong Kong Stock Exchange Publishes Report on Issuers Annual Report Disclosure
                    12 AprilSFC Publishes FAQ on Statutory Inside Information Disclosure Regime and the Exchange Publicly Censures Listed Issuer for Non-Disclosure under Previous Listing Rule Regime
                    11 AprilHKEx Publishes Listing Decisions in Relation to Convertible Note-Bond Issues
                    10 AprilStock Exchange Publishes Guidance on Listing Document Disclosure for New Applicant Mineral Companies
                    8 AprilStock Exchange of Hong Kong Publishes Consultation Conclusions on Allowing Listed Issuers to Release Inside Information During Trading Hours Subject to Short Trading Halts
                    26 MarchBill to Regulate the Hong Kong OTC Derivative Market to be Introduced in the Second Quarter 2013
                    26 MarchHong Kong Stock Exchange Publishes Guidance Letter Gl51-13 Disallowing Additional Benefits for Cornerstone Investors
                    11 MarchHong 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 FebruaryHong Kong Stock Exchange Issues Guidance Letter and Listing Decisions in Relation to Mineral Companies
                    2 FebruaryHong Kong Stock Exchange Publishes Guidance on the Reasons for Returning Certain Listing Applications

                    2012

                    24 DecemberSFC Encourages Inside Information Disclosure before the Statutory Disclosure Regime comes into Effect
                    24 DecemberStock 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 DecemberHong Kong Stock Exchange Publishes Consultation Conclusions on Listing Rule Amendments Consequential on New Statutory Regime for PSI Disclosure
                    7 DecemberAmendments to the Law on the Use and Provision of Personal Data for Direct Marketing Expected
                    5 DecemberSFC Consultation Service on Statutory PSI Disclosure Regime and SFC Consults on Proposals to Enhance the Regulatory Regime for Non-Corporate Listed Entities
                    29 NovemberSFC Holds IPO Sponsor Principals Jointly and Severally Liable in Discharge of Responsibilities
                    26 NovemberAmendments to the Definitions of Specified Stock and Futures Exchanges and Proposed Amendments to the Securities and Futures Financial Resources Rules
                    5 NovemberHong Kong Stock Exchange Publishes Guidance on pre-IPO Investments
                    30 OctoberFSTB and Companies Registry Consult on Subsidiary Legislation to Complement the New Companies Ordinance
                    19 OctoberFirst Dual Counter Security Lists on Hong Kong Stock Exchange
                    15 OctoberStock Exchange Publishes Listing Decision in Relation to Suitability for Listing of Applicants with Deteriorating Financial Performance and Uncertain Business Prospects
                    9 OctoberThe Australasian Joint Ore Reserves Committee Releases for Public Comment the Exposure Draft of the JORC Code 2012
                    24 SeptemberHong Kong Stock Exchange Consults on Board Diversity
                    14 SeptemberStock Exchange Updates Listing Decision on PRC Businesses Using VIE Structures
                    12 SeptemberHong Kong Stock Exchange Publishes Consultation Conclusions on Environmental Social and Governance Reporting
                    24 AugustSFC and HKMA Publish Consultation Conclusions and Supplemental Consultation on the Regulation of OTC Derivatives
                    22 AugustStock Exchange Consults on Listing Rule Amendments Consequential to Issuers Statutory Obligation to Disclose Price Sensitive Information
                    15 AugustHong Kong Stock Exchange Consults on Allowing Publication of PSI During Trading Hours Subject to Trading Halts
                    10 JulySFC Publishes Consultation Conclusions on Amendments to the Code of Conduct
                    11 JuneHong Kong Stock Exchange Publishes Guidance on Listed Issuers Continuous Disclosure Obligations and on Disclosure of Distributorship Business Models in Listing Documents
                    30 MayHong Kong Stock Exchange Publishes Guidance Letter on Profit Forecasts under Main Board Rules and Gem Rule
                    24 MaySecurities and Futures Commission Publishes Consultation Paper on the Regulation of Sponsors
                    11 MayStatutory Regime for Disclosure of Price Sensitive Information
                    4 MayHong 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 MayNew Anti-Money Laundering and Counter-Terrorist Financing Requirements for SFC Licensed Corporations
                    26 AprilHong Kong Stock Exchange Issues Guidance Letter on Disclosure of Use of Proceeds in New Applicants Listing Documents
                    25 AprilHong Kong Stock Exchange Publishes Guide to Connected Transaction Rules
                    12 AprilHong 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 MarchAmendments to the Takeovers Code
                    21 MarchSFCs New Short Position Reporting Regime Expected
                    12 MarchHong Kong Stock Exchange Publishes Two Listing Decisions on Rights Issues
                    15 FebruaryHong Kong Stock Exchange Publishes Revised Guidance on Prospectuses Issued Within 3 Months of the Issuers Financial Year End
                    6 FebruaryHong Kong Stock Exchange Repeals Listing Rule Ban on Inclusion of Profit Forecasts in pre-Listing Research Reports Unless Also Included in Listing Document
                    3 FebruaryHong Kong Stock Exchange Publishes Consultation Paper on Environmental Social and Governance Reporting Guide
                    31 JanuarySEHK Recent Publications on Revised Publication Window for Issuers Documents pre-IPO Investments
                    19 JanuarySFC Consultation on Proposed Amendments to the Code of Conduct
                    11 JanuaryProperty Valuation Requirements for Mining Companies IPOs
                    6 JanuarySFC Issues Takeovers Bulletin on Reminder to Fund Managers of Dealing Disclosure Obligations under Rule 22 of the Takeovers Code
                    4 JanuaryStreamlined Property Valuation Requirements

                    2011

                    15 DecemberNew Evidential Requirements for Proving Professional Investor Status
                    7 DecemberSEHK Publishes Consultation Conclusions on Amendments to the Corporate Governance Code and Associated Listing Rules
                    3 NovemberSFC Begins Consultation on Proposed Regulatory Regime for OTC Derivatives Market
                    22 SeptemberHKEX Publishes Revised Guidance for Chapter 21 Companies Investment Companies
                    5 SeptemberSFC Publishes Consultation Paper on Proposed Takeovers Code Amendments
                    31 AugustCSRC Tightens Regulation of Backdoor Listings and Adopts Measures to Facilitate Asset Acquisitions By Way of Share Issue
                    17 AugustSFC Reminds Sponsors to Exercise Reasonable Judgment in IPO Due Diligence
                    15 AugustSFC Extends Implementation Date for New Conflict of Interest Requirements Governing Research Reports
                    16 JulySFC Publishes Consultation Conclusions on the Regulatory Framework for pre-Deal Research Reports
                    15 JulySFC 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 JulyTakeovers and Mergers Panel Releases Ruling on whether Two Parties Should be Considered Concert Parties under the Takeovers Code
                    6 JulySFC Publishes Revised Guidelines on Statutory Price Sensitive Information Disclosure Obligation
                    4 JulyHKEx Publishes FAQs on Models for RMB IPOs
                    30 JuneUK Bribery Act Comes into Force the Implications for Businesses in Asia
                    27 JuneConsultation Paper on Draft Short Position Reporting Rules Published
                    13 JuneEx-Entitlement Trading Only After Shareholder Approval
                    24 MayNew Regime for Offers of Structured Products
                    29 AprilHKEx 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 AprilSFC Report on Sponsor Inspection Findings
                    11 AprilSFC Publishes Consultation Conclusions on the Draft Guidelines on Disclosure of Price Sensitive Information
                    8 AprilUK Bribery Act 2010 to Come into Force - UK MOJ Publishes Guidance on Adequate Procedures Defence and DPP and SFO Publish Joint Prosecution Guidance
                    6 AprilHKEx Publishes Listing Decision Regarding Restrictions on Disposal After a Change in Control under Chapter 14 of the Listing Rules
                    25 MarchCompanies Registry Implements One-Stop Electronic Incorporation and Business Registration Service
                    8 MarchHKEx Issues New Guidance on the Requirements for the Publication of Overseas Regulatory Announcements
                    28 FebruaryMixed Media Offers allow Paper Application Forms with Electronic Prospectuses
                    25 FebruarySFC Publishes Consultation Conclusions on the Evidential Requirements under the Securities and Futures Professional Investor Rules
                    22 FebruaryFSTB Publishes Consultation Conclusions on Statutory Backing to Price Sensitive Information Disclosure Requirements
                    14 FebruaryThe UKBribery Act 2010 - the Implications for Businesses Operating in Asia
                    2 FebruaryReduction of the Minimum Shareholder Requirement for the Market Capitalisation-Revenue Test from 1000 to 300
                    31 JanuaryHKEx Extends Trading Hours
                    21 JanuarySEHK and SFC Publish Joint Consultation Paper Proposing Changes to Property Valuation Requirements
                    14 JanuaryHKEx Publishes Consultation Paper On Ex-Entitlement Trading
                    12 JanuaryHKEx Publishes Listing Decision on the Listing Eligibility of An Entity under Joint Control
                    11 JanuaryHKEx Publishes Consultation Paper on Review of the Code on Corporate Governance Practices and Associated Listing Rules
                    5 JanuaryHKEx Publishes Consultation Paper on Proposed Changes to Requirements for the Listing of Debt Issues to Professional Investors Only

                    2010

                    24 DecemberHKEx Amends Listing Rules to Accept Mainland Accounting and Auditing Standards and Mainland Audit Firms for Mainland Incorporated Companies Listed in Hong Kong
                    13 DecemberSFC SEHK Publish Joint Consultation Conclusions on the Proposal to Allow the Issue of Paper Application Forms with Electronic Listing Documents
                    10 DecemberSFC Publishes Consultation Paper on the Regulatory Framework for pre-IPO Research Reports
                    30 NovemberRegistration of Investment Managers with Sec
                    15 NovemberSFC Publishes Consultation Conclusions Concerning the Regulatory Oversight of Credit Rating Agencies
                    10 NovemberHKEx Admits Brazil Japan and the Isle of Man as Acceptable Jurisdictions of Incorporation for Overseas Listing Applicant
                    3 NovemberHKEx Listing Committee Announces Interim Guidance on pre-IPO Investments
                    6 OctoberSFC Publishes Consultation Paper on the Evidential Requirements under the Securities and Futures Professional Investor Rules
                    17 SeptemberHKEx Publishes Consultation Paper on Proposed Reduction of Required Minimum Number of Shareholders for the Market Capitalisation-Revenue Test
                    8 SeptemberConsultation Conclusions on the First Phase Consultation of the Draft Companies Bill Published
                    9 AugustSFC Dual Filing Update Identifies Shortcomings in Prospectus Disclosure
                    5 AugustSFC Consults on Regulatory Oversight of Credit Rating Agencies
                    15 JuneChanges to Requirements for Circulars and Listing Documents of Listed Issuers
                    11 JuneSFC to Implement Proposals to Enhance Regulation of Retail Structured Products
                    26 MayChanges to Connected Transaction Rules
                    26 MayIntroduction to the New Main Board and Gem Listing Rules for Mineral Companies
                    5 MaySFC 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 MayRevised Practice Note 15 in latest SFC Takeovers Bulletin
                    22 AprilFSTB and SFC Consultations on Proposals to Give Statutory Backing to Listed Companies Obligation to Disclose Price Sensitive Information

                    2009

                    3 DecemberHKEx Publishes Consultation Paper on Proposed Changes to its Connected Transaction Rules
                    19 NovemberHKEx Streamlines Procedures for Listing Overseas Companies
                    20 OctoberHKEx Publishes Consultation Paper on Proposals to Allow Mainland Companies Listed on HKEx to Use Mainland Accounting and Auditing Standards and Mainland Audit Firms
                    15 OctoberHKEx Publishes Consultation Paper on Proposed Changes to Requirements for Circulars and Listing Documents of Listed Issuers
                    5 OctoberHKEx Consults on New Listing Rules for Mineral and Exploration Companies
                    25 AugustSFC Consults on Increased Short Selling Disclosure
                    17 AugustHKEx Publishes Consultation Paper on Proposals to Accelerate Rights Issues and Open Offers
                    14 AugustHKEx Consultation Paper on Proposed Changes to Filing and Checklist Requirements for Listing Equity Securities
                    22 JuneRecent Developments in Chinas Business and Securities Laws
                    13 JuneHKEx Potential Waiver from Profit Test Requirement for Main Board IPO Applicants
                    30 AprilDecision 55-2009-Qd-Ttg - New Regulations on Foreign Ownership of Vietnamese Companies
                    22 AprilThe Turner Review and Discussion Paper - a Regulatory Response to the Global Banking Crisis
                    23 MarchChinas Ministry of Commerce Rejects Coca-Colas Bid to Acquire China Huiyuan Juice Group
                    27 FebruarySFC Approves Listing Rule Amendments to Extend Black Out Period for Annual Results to 60 Days
                    13 FebruaryHKEx Proposes Modification of the Black Out Period Extension and Moderates Position on Quarterly Reporting
                    6 FebruaryChanges to Designated Securities Eligible for Short Selling
                    22 JanuaryHKEx Proposes Mandatory Quarterly Reporting by Main Board Listed Companies from 2011 Year-End and Other HKEx Initiatives
                    5 JanuarySFC Emphasises Trigger and Creeper Provisions Will Not be Relaxed and Introduces New Takeovers Code Practice Note on Confirmation of Financial Resources

                    2008

                    31 DecemberImplementation of the Extension of the Black Out Period Prohibiting Directors from Dealing in Securities of Listed Issuers Deferred
                    22 DecemberConsultation Conclusions on Proposed Companies Ordinance Amendments in Relation to Company Names Directors Duties Corporate Directorships and Registration of Charges Published
                    17 DecemberHKEx Publishes Consultation Conclusions on Combined Consultation Proposals Listing Rule Amendments Take
                    24 NovemberListed Companies Disclosure Obligations HKEx Issues Reminder and Guidance
                    10 NovemberNo 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 MayNew Growth Enterprise Market Rules Come into Effect
                    13 MayHong Kong Depositary Receipt Framework to be Implemented
                    19 MarchHKEx Publishes Combined Consultation Paper on Amendments to the Listing Rules
                    10 MarchHKExs Revised Suspension Policy

                    2007

                    19 DecemberSFC 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 NovemberAmendments to the Companies Ordinance Relating to Non-Hong Kong Companies
                    14 NovemberPilot Scheme Requiring the Early Posting of a Near Final Draft IPO Prospectus on the HKEx Website to Commence January 2008
                    6 NovemberListing Decisions on pre-IPO Convertible Bond Issues
                    8 OctoberSFC Publishes Guidance on Takeovers Code
                    3 OctoberSFC Publishes Consultation Paper on Proposed Amendments to the Codes on Takeovers and Mergers and Share Repurchases
                    10 SeptemberHKEx Publishes Consultation Paper on Periodic Financial Reporting
                    6 AugustHKEx Proposes a Second Board Model for Gem Invites Responses on Consultation Paper
                    23 JulyHKEx Issues Reminder to Listed Issuers Regarding Suspension Related Matters under the Electronic Disclosure Regime
                    20 JuneSFC Adopts New Approach to Licensing of Fund Managers
                    11 AprilAbolition of the Requirement for Main Board Issuers to Publish Paid Newspaper Announcements
                    16 MarchStock Exchange and SFC Announce Joint Policy Statement Regarding the Listing of Overseas Companies
                    12 MarchRevised Approach Adopted for the Introduction of a Statutory Listing Regime
                    5 MarchNew Position Limits for H-Shares Index Futures and Options
                    29 JanuaryHKEx Releases Strategic Plan for 2007-2009

                    2006

                    6 DecemberHong Kong Stock Exchange Accepts Listing of Companies Incorporated in Australia and British Colombia
                    1 NovemberAbolition of Listed Issuers Short-Form Preliminary Results Announcements
                    9 OctoberSFC Publishes Consultation Conclusions on Possible Reforms to the Companies Ordinance Prospectus Regime
                    13 SeptemberUpdate on New Sponsor Requirements
                    21 AugustHKEx Publishes Guide on pre-Vetting Requirements for Announcements
                    16 AugustStock Exchange Publishes Conclusions on Abolition of the Requirement for Main Board Issuers to Publish Paid Announcements in Newspapers
                    14 JuneNew Requirements for Securities Firms and New Paid-Up Share Capital Requirement for Sponsors
                    12 MayNew Sponsor Requirements
                    7 FebruarySFC to Implement Securities Collateral Re-Pledging Limit in 2 Phases and HKFE Announces Revised Margins for H-Shares Index and Petrochina Futures Contracts
                    25 JanuarySFC HKEx Publishes Discussion Paper on Gem
                    18 JanuaryStock Exchange Proposes Abolition of Requirement for Main Board Issuers to Publish Paid Announcements in Newspapers

                    2005

                    10 DecemberSFC Launches a Six-Point Plan for the Derivative Warrants Market
                    20 OctoberHKEx Invites Comments on the Derivative Warrants Market
                    3 OctoberAmendments to the Hedge Fund Guidelines
                    29 SeptemberSFC Publishes Consultation Paper on Possible Reforms to the Companies Ordinance Prospectus Regime
                    22 SeptemberAmendments to the Definitions of Regulated Activities in Schedule 5 of the Securities and Futures Ordinance
                    7 SeptemberSFC Amendments to the Codes on Takeovers Mergers and Share Repurchases
                    28 JulySFC Publishes Consultation Conclusions on Amendments to the Disclosure of Interests Regime
                    13 JulyProposed New Regulatory Regime For Sponsors
                    6 JuneProposed Revision of the SFCs Guidance Note on Prevention of Money Laundering and Terrorist Financing and New Shareholder Remedies under the Companies Ordinance
                    3 MaySFC-Authorised Funds and Unit Trusts Permitted to Invest in Listed Reits
                    18 AprilGuidelines on Analyst Conflicts of Interest
                    29 MarchProposed Amendments to the SFO to Give Statutory Backing to Major Listing Rules
                    15 FebruarySFC Issues Consultation Paper on Amendments to the Disclosure of Interests Regime
                    26 JanuarySecond Consultation Paper on Exemption of Offshore Funds from Hong Kong Profits Tax

                    2004

                    2 DecemberHong Kong Stock Exchanges Code on Corporate Governance Practices and Corporate Governance Report
                    16 NovemberAmendments to the Listing Rules Relating to the Regulation of Sponsors and Independent Financial Advisers
                    27 OctoberNew Companies Ordinance Prospectus Regime
                    23 AugustHong Kong Legal Update
                    17 MaySummary of Changes to the GEM Listing Rules
                    13 MayProposed Amendments to the Listing Rules Relating to the Regulation of Sponsors and Independent Financial Advisers
                    25 MarchAmendments to The Main Board Listing Rules
                    16 JanuaryThe Companies Amendment Ordinance 2003

                    2003

                    22 DecemberRecent Changes to the Companies Ordinance Prospectus Regime
                    18 NovemberRegulation Of Offers Of Investments Under Part IV Securities And Futures Ordinance
                    16 OctoberThe New Licensing Regime under the Securities and Futures Ordinance
                    1 OctoberDisclosure of Interests under the Securities and Futures Ordinance - Update
                    24 SeptemberStabilisation under the Securities and Futures Price Stabilising Rules
                    20 JuneProposed Increased Regulation of IPO Intermediaries
                    2 JuneMarket Misconduct under the Securities and Futures Ordinance
                    20 MayInsider Dealing under the Securities and Futures Ordinance
                    2 AprilDisclosure of Interests under the Securities and Futures Ordinance
                     

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