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 (HKEx) and their directors, management and advisers. The updates include HKEx announcements and rule or guidance changes, Securities and Futures Commission (SFC) decisions and updates, and HKEx and SFC enforcement-related news. In this update we cover:

  • HKEx publishes results of its latest review of listed companies’ financial reports
  • HKEx revises guidance letter clarifying the conditions for waivers from strict compliance with Listing Rule 4.04(1)
  • HKEx successfully launches Closing Auction Session for its securities market
  • HKEx revises publication window for publishing on its website
  • SFC and HKEx issue joint consultation on listing regulation
  • SFC publishes annual review of HKEx’s performance in regulating listing matters
  • CSRC and SFC jointly approve Shenzhen-Hong Kong Stock Connect
  • SFC publishes Takeovers Bulletin No. 37
  • Recent enforcement actions and penalties

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