This Hong Kong regulatory update is intended to provide a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock Exchange of Hong Kong Limited (HKEx) and their advisers, including HKEx announcements and rule changes, Securities and Futures Commission (SFC) decisions and updates, and both HKEx and SFC enforcement-related news. In this update we cover:

  • Signing of a memorandum on the mutual recognition of funds between mainland China and Hong Kong
  • SFC emphasizes proper disclosure of inside information
  • HKEx publishes report on review of disclosure in listed companies’ annual reports
  • Updated HKEx Frequently Asked Questions in Relation to Disclosure Requirements for Directors of Listing Applicants
  • Listing decision issued by the HKEx regarding whether a company’s cash flow generated during a period of noncompliance should be counted toward the calculation of minimum cash flow
  • Moving toward paperless securities in Hong Kong
  • Recent enforcement actions and penalties

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