This Hong Kong regulatory update provides 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 and their directors, management and advisers. The updates include HKEx announcements and rule or guidance changes, Securities and Futures Commission decisions and updates, and both HKEx and SFC enforcement-related news. In this update we cover:

  • HKEx issues a guidance letter on the application of cash company rules to large-scale fundraisings
  • HKEx publishes results of its latest review of disclosure in issuers’ annual reports 
  • HKEx issues a guidance letter on placings to connected clients and existing shareholders in IPOs
  • Hong Kong Exchanges and Clearing Limited rolls out Strategic Plan 2016-18 
  • HKEx provides guidance on producing simplified listing documents relating to equity securities for new applications
  • The Contracts (Rights of Third Parties) Ordinance came into effect on 1 January 2016 
  • The Takeovers Panel rules on a general offer obligation for The Cross-Harbour (Holdings) Limited
  • Recent enforcement actions and penalties

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