All posts tagged "SEHK"
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645Contributed ArticleHong Kong Stock Exchange Issues Revised Enforcement Policy
Herbert Smith Freehills partners explain the implications of the Hong Kong Stock Exchange's updated policy statement on Listing Rule enforcement.
July 16, 2021 -
399Hong KongHKEX, FRC to Strengthen Collaboration on Financial Reporting Quality
A new MOU establishes a collaborative framework which will ultimately provide better investor protection through high quality financial reporting.
June 9, 2021 -
508Enforcement
HKEX Finalises Rule Changes to Enhance Market Quality
HKEX will increase the profit requirement to HKD 80 million in combined profits over the three years. Proposals to enhance its disciplinary powers and sanctions will also be adopted.
May 21, 2021 -
635EnforcementSFC to Investigate, Punish Misconduct in ‘Problematic’ IPOs
In a joint statement with the stock exchange, the SFC says it will not hesitate to take enforcement action against intermediaries for IPO-related misconduct.
May 21, 2021 -
215Enforcement
Hong Kong: Six Current & Former Directors Fined Over Inside Information
Timely disclosure of inside information is central to the orderly operation of the market and underpins a fair and informed market, the SFC said.
May 14, 2021 -
663EnforcementHKEX Proceeds to Delist Shares of Convoy Global Holdings
HKEX says its Listing Review Committee has upheld the May 2020 decision to cancel the listing of Convoy Global Holdings.
May 7, 2021 -
793EnforcementSFC Set to Deploy Data Analytics in Broker Inspections
High volume brokers were asked in 2019 to adopt new data standards to enable more timely data submissions to regulators when requested.
April 30, 2021 -
842ESG / Sustainability
HK Bourse Proposes New Governance, ESG Reporting Standards
The proposals enhance corporate governance standards in the areas of corporate culture, director independence, diversity, and ESG disclosures and standards.
April 19, 2021 -
417AML / KYCHK Bourse Offers Guidance on Compliance with BCAN Requirements
Exchange participants are “strongly advised” to strengthen controls and take immediate action to rectify any breaches of BCAN requirements.
March 9, 2021 -
480Enforcement
HK Audit Regulator to Probe Convoy Financial Statements
Zhonghui Anda CPA Limited may have failed to express an appropriate audit opinion in three years of Convoy’s financial statements, the Financial Reporting Council said.
March 1, 2021
