- 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.
