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Hong Kong – Regulatory & Compliance – December 2014

 

  •  Property Tycoon And Former Chief Secretary Jailed In HK’s Highest-Level Corruption Trial.
  • SFC Routine Inspection Update.
  • Licensed Corporations Reminded To Review Internet Security.
  • SFC Licensing And Compliance Hints.
  • Recent Enforcement Actions And Penalties Involving HKEx-Listed Companies.
  • SFC’s Consultation Conclusions On Amendments To Professional Investor Regime.
  • HKEx’s Guidance Letter On Placing Shares To “Connected Clients”.
  • Results Of The SFC Annual Review Of The Performance Of The HKEx.
  • Updates To The Disclosure Requirements For Acquisitions Prior To Listing.
  • Revises And Further Consults On Draft Rules For Mandatory Reporting Of OTC Derivatives And Related Record Keeping.
  • Which Party Gets The Benefit?
  • Regulators Call On Senior Management To Ensure That Their Firm’s Information Security Management And System Security Controls Are Effective.
  • OTC Derivatives Regulation: Phased Implementation Of Reporting Obligations.
  • Advertising Guidelines Reminder.
  • SFC Licensing And Compliance Hints.

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