All posts tagged "SEHK"
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596AML / KYCSSE, SZSE Propose Rules Changes to Implement Investor ID Regime
Under the regime, brokers must assign a unique digital code that identifies each investor, who will be “deemed to agree” that their information may be transferred to the Hong Kong SFC and SEHK.
November 25, 2019 -
605China
CSRC to Allow Full Conversion of Non-tradeable Shares to H-Shares
The move is seen as a way for state investors to exit some industries, and a way for some mainland companies to raise new funds and improve liquidity in their H-shares.
November 19, 2019 -
793Hong KongHKEX Issues Guidance for Overseas Companies Seeking HK Listings
The guidance materials have been enhanced to improve access to the Hong Kong market and to facilitate the application process.
October 30, 2019 -
1.1KAML / KYC
Stock Connect to Launch Southbound Investor ID Regime “Soon”
The launch of the investor identification regime for southbound trading will mark the first time mainland investors will have their personal information shared with Hong Kong’s regulator.
October 12, 2019 -
644IndiaSEBI Allows Indian Firms to Issue Depository Receipts
Domestically listed companies will be allowed to issue depository receipts on certain international bourses as well as on GIFT City exchanges.
October 12, 2019 -
913FeatureSFC Raises Standards for Data Submissions by Brokers
In-scope brokers are expected to implement system changes and make other arrangements needed for compliance with the new Data Standards by end-October 2020.
August 1, 2019 -
979EnforcementHong Kong ICAC Charges Five More Individuals in Convoy Case
Six individuals are now charged with conspiracy to defraud the Hong Kong stock exchange and the board of directors, shareholders and investors of Convoy.
July 23, 2019 -
825Hong Kong
HK to Suspend Stocks on Disclaimer, Adverse Audit Opinions
Trading in a Hong Kong listed company will be suspended if the auditor issues a disclaimer or adverse opinion for any financial year commencing on or after 1 September 2019.
May 27, 2019 -
1.7KEnforcement
Hong Kong ICAC Files Charges Against Former Convoy Director
Charges were laid against Cho Kwai Chee, a former director of Convoy Global Holdings, one of the companies said to be at the centre of the so-called 'enigma network'.
May 18, 2019 -
747Hong Kong
HK Bourse Proposes to Suspend Firms with Disclaimer, Adverse Audit Opinions
A trading suspension would be imposed if a listed company’s auditor has issued a disclaimer or adverse opinion on the company’s financial statements.
October 2, 2018
