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Enforcement
Former Convoy Executives Found Not Guilty in ‘Enigma Network’ Case
By Editors | 02/12/2020
The judge ruled that the evidence provided by prosecutors was not sufficient to prove there was any attempt to deceive the stock exchange or Convoy directors or investors.
Fintech / Regtech
Lack of Electronic Solutions Hindering Capital Market Access: ASIFMA
By Editors | 30/11/2020
The report calls on government and regulators to facilitate greater use of e-signatures, virtual meetings, and other electronic solutions in Hong Kong and Singapore capital markets.
Securities / Derivatives
HKEX Proposes to Raise Profit Requirement for New IPOs
By Manesh Samtani | 30/11/2020
One option HKEX proposes is to raise the profit requirement for companies seeking to list in Hong Kong threefold, reflecting the growth of the Hang Seng Index since 1994.
Securities / Derivatives
SFC Finalises Changes to Grant Greater Flexibility to REIT Managers
By Editors | 29/11/2020
REITs will be allowed to invest in minority-owned properties and property development projects, and borrowing limits will be increased.
Market Infrastructure
HKEX Announces Stock Connect Expansion Arrangements
By Manesh Samtani | 29/11/2020
Pre-revenue biotech companies listed on Hong Kong’s Main Board will be included from 27 December. SSE STAR Market stocks will be included in early 2021.
Big Picture
HKIMR Offers Suggestions to Develop Hong Kong Green Bond Market
By Shruti Khairnar | 27/11/2020
To encourage more active participation in the market, efforts can be made to implement tax incentives and subsidies to address the high costs of certification.
Securities / Derivatives
HKEX Outlines Derivatives Market Enhancements for 2021
By Editors | 26/11/2020
Market participants who plan to trade or clear selected derivatives contracts during Hong Kong public holidays will be asked to demonstrate technical readiness.
Enforcement
SFC Bans Ex Sun Hung Kai Account Exec Over Discretionary Trading
By Editors | 26/11/2020
The former licensed representative effected transactions in two clients’ accounts on a discretionary basis without obtaining prior written authorisations or senior management approval.
Market Infrastructure
Stock Connect Set to Include Pre-profit Biotechs, STAR Market Stocks
By Manesh Samtani | 26/11/2020
In a policy address, Hong Kong chief executive Carrie Lam discussed measures to expand Stock Connect and enhance the city’s integration into the Greater Bay Area.
Enforcement
SFC Bans Ex-StanChart Banker For Concealing Personal Trades
By Editors | 25/11/2020
The SFC’s decision followed a referral from the HKMA, which discovered that the former banker also wilfully misrepresented himself to the Appeals Tribunal.
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