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Hong Kong – Regulatory & Compliance – September 2014

 

  • SFC Concludes On Code Amendments For Professional Investors And Launches Further Consultation Regarding Client Agreement Requirements.
  • SFC Licensing And Compliance Hints.
  • The Securities And Futures (Amendment) Ordinance 2014: New Investigative And Disciplinary Powers Of The SFC And HKMA Regarding OTC Derivative Activities.
  • Former Responsible Officer Of SHKI Suspended For Sponsor-Related Failures.
  • Recent Enforcement Actions And Penalties Involving HKEx-Listed Companies.
  • The SFC’s Issue Of Supplement Consultation Conclusions On The Regulation Of IPO Sponsors.
  • The Decision By The Takeovers Panel On SouthGobi Resources Limited.
  • The HKEx’s Issue Of A Concept Paper On Weighted Voting Rights.
  • The Introduction Of New Rules On “Connected Transactions” Effective July 1, 2014.
  • The End Of The Initial 3-day Check Of Application Proofs.
  • The Shanghai-Hong Kong Connect.
  • Ernst & Young Ordered To Produce Accounting Records And Audit Papers To The SFC.
  • OTC Derivatives Reporting And Licensing: What Assets Managers Can Do Now To Prepare.
  • Stock Exchange Consultation On Risk Management And Internal Controls.
  • SFC Supervisory Briefing Session: Summary Of Key Issues.
  • Privacy Commissioner Investigation Report: JV Fitness Limited Trading As California Fitness.

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