All posts tagged "SEHK"
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321AML / KYCSFC Issues Technical Guidance for New Reporting Regime
A new paper introduces a pre-defined file format for OTCR submissions. Guidance on the new investor identification regime has also been released.
November 29, 2021 -
139EnforcementHK ICAC Charges Four for Concealing Backdoor Listing
A retired lawmaker and his son concealed an agreement with a third party who agreed to pay them about HK$210mn for control of a listed stock.
November 29, 2021 -
146Hong KongHong Kong Bourse Launches ‘Kill Switch’ Service
The 'kill switch' service allows exchange participants to quickly cancel outstanding orders by broker number in contingencies.
November 1, 2021 -
99Hong Kong
HKEX Proposes Changes to Rules Governing Share Schemes
Listed companies will be able to grant no more than 10 percent of their total shares in share award or option schemes.
October 31, 2021 -
146EnforcementHK Court Jails Former Convoy, Gransing Executives
Former Convoy executives conspired to dishonestly arrange for bond placement commissions to be diverted to a company they substantially owned.
October 18, 2021 -
292Hong KongHong Kong Announces Initiatives to Bolster Financial Hub Status
Chief Executive Carrie Lam announced measures to improve the stock market listing regime and enable RMB-denominated securities in Hong Kong.
October 7, 2021 -
202Enforcement
HK Court Convicts Former Convoy Executives for Fraud
Former Convoy executives conspired to dishonestly arrange for bond placement commissions to be diverted to a company they substantially owned.
September 21, 2021 -
282Hong Kong
HKEX to Roll Out New Market Access Platform on 27 September
The change is expected to improve latency, deliver higher performance, and provide greater flexibility to implement new functionalities in the future.
September 16, 2021 -
312Hong Kong
HKEX to Roll-out New Workflow for Derivatives Position Adjustments
The enhancement will allow clearing participants to submit position adjustments requests directly at DCASS Online, replacing the existing paper-based workflow.
September 8, 2021 -
309AML / KYCSFC Finalises Investor ID, OTC Securities Reporting Regimes
The investor identification regime is expected to be launched in H2 2022. The securities transactions reporting regime will go live in H1 2023.
August 11, 2021
