All posts tagged "underwriters"
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114ChinaCSRC Probes Haitong Securities in Financial Reporting Fraud Case
Haitong is suspected of negligence and violations of law and regulations when it served as financial adviser on a deal to help a client on a backdoor listing deal.
September 10, 2021 -
99Securities & TradingTaiwan FSC Plans Relaxation of Share Issuance Rules
Under a new mechanism, listed companies would be able to secure approval for multiple batches of share issuances at once without having to apply for each one individually.
September 5, 2021 -
138ChinaCSRC Considers Barring Data-Heavy Firms from Listing Overseas
The CSRC is drafting rules that would prohibit Internet firms holding large amounts of user-related data from listing overseas, targeting firms with VIE structures.
August 31, 2021 -
100ChinaChina’s NAFMII Orders Bond Underwriters to End Price War
Lead bond underwriters are required to report their fees to NAFMII on a quarterly and annual basis and set up internal management systems to ensure their fees reflect market rates.
August 18, 2021 -
100China
CSRC Penalises Yongcheng Coal, Executives for Fraud
Yongcheng Coal and its executives were fined for fraudulent disclosures and for inflating its books. The company defaulted on a CNY 1 billion bond last year.
August 6, 2021 -
140EnforcementICAC, SFC Arrest Listed Company Exec in Joint Operation
The ICAC and SFC searched a number of premises, including the offices of the listed company and one of its IPO underwriters.
July 8, 2021 -
174FeatureHKEX to Roll Out New IPO Settlement Platform Next Year
HKEX will proceed with the development of FINI for handling all Hong Kong IPOs, initially adopting a T+2 settlement cycle.
July 7, 2021 -
239FeatureSFC Raises Supervisory Focus on Fund Manager Resilience
The SFC is on the lookout for funds with outsized and concentrated bets to prevent an Archegos-type event in Hong Kong.
June 8, 2021 -
171ChinaShanghai, Shenzhen Bourses Consult on New Bond Issuance Rules
Rules requiring issuers to have credit ratings are removed, investor rights protection mechanisms are enhanced, and obligations on intermediaries are strengthened.
May 22, 2021 -
306EuropeFCA to Consult on Stronger Protections for SPAC Investors
The consultation will consider enhanced disclosure requirements, a minimum market cap and a redemption option for investors.
April 7, 2021
