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Hong Kong – Regulatory & Compliance – March 2015

 

  • AML Update For SFC Licensed Companies.
  • Court Of Appeal Rules On Advertising Case.
  • SFC Licensing And Compliance Hints.
  • Recent Enforcement Actions And Penalties Against Listed Companies And Their Directors.
  • Amendments To HKEx Guidance Letters Relevant To Disclosure In Prospectuses / Listing Documents.
  • Listing Decision Issued By The HKEx Regarding Whether A Shareholder Falling Below 30 Percent At IPO Would Be Subject To A Post-IPO Lock-Up.
  • Consultation Conclusions On Risk Management And Internal Controls.
  • HKEx Consultation Conclusions On Amendments To Financial Disclosure Rules.
  • Code Of Banking Practice Update.
  • Drugs, Conspiracy And Jurisdiction.

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