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 Provides Guidance on Issues Related to “Controlling Shareholder” and Related Listing Rules Implications
  • HKEx Updates Guidance Letter GL57-13 to Set Out the Consequence of Inadequate Redaction of an Application Proof and a PHIP for Publication Purpose
  • HKEx Reports on Its Review of Listed Issuers’ Corporate Governance Practices Disclosure
  • Listing Committee Chairman Clarifies News Report Relating to the Joint Consultation Paper on Listing Regulation
  • Shenzhen-Hong Kong Stock Connect Commenced on 5 December 2016
  • Takeovers Panel Upholds Ruling on Offer for L&A International
  • MMT Fines AcrossAsia and Its Officers HK$2 Million for Late Disclosure of Inside Information
  • MMT Bans Andrew Left of Citron Research From Trading Securities in Hong Kong
  • Court of Final Appeal Dismisses Leave Application of C.L. Management and Its Sole Owner
  • The Listing Committee Criticises Global Sweeteners, and Censures Global Bio-chem and Its Former Directors, for Breaching the Listing Rules
  • GEM Listing Committee Censures Chairman of China Nonferrous Metals for Breaching the GEM Listing Rules
  • Listing Committee Censures Mingyuan Medicare for Breaching the Listing Rules

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