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Amendments to the self-reporting requirement under the Code of Conduct to come into effect in December 2012

Herbert Smith Freehills LLP
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Hong Kong
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May 30 2012

The Securities and Futures Commission (SFC)'s two-month consultation on the amendments to the Code of Conduct to facilitate the establishment of the Financial Dispute Resolution Centre Ltd (FDRC) and to enhance the regulatory framework (Consultation) ended in January 2012

SFC imposed first revocation of IPO sponsor's licence to advise on corporate finance for due diligence failings

Herbert Smith Freehills LLP
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Hong Kong
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April 30 2012

On 22 April 2012, the Securities and Futures Commission ("SFC") announced that it revoked Mega Capital (Asia) Company Limited's ("Mega Capital") licence to advise on corporate finance and fined it HK$42 million for failing to discharge its duties as a sponsor in the listing of Hontex International Holdings Company Limited ("Hontex"

Court of Appeal rules partial waiver of privilege recognised in Hong Kong

Herbert Smith Freehills LLP
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Hong Kong
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April 17 2012

In Citic Pacific Limited v Secretary for Justice (unrep, CACV 602011), the Court of Appeal considered the legal principles relating to the nature and extent of legal professional privilege, and held that the concept of partial waiver of privilege is recognised under Hong Kong law

Court of Appeal upheld SFC's appeal in Tiger Asia, confirming CFI's power to make final orders based on own finding of alleged market misconduct

Herbert Smith Freehills LLP
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Hong Kong
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February 28 2012

The Securities and Futures Commission ("SFC") secured a victory in the Court of Appeal last week in its ongoing battle against the New York-based hedge fund Tiger Asia Management LLC and several of its officers

Shanghai Land: Hong Kong's highest court quashes convictions of all defendants

Herbert Smith Freehills LLP
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Hong Kong
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September 28 2011

In 2008, the Shanghai Land case resulted in the conviction and imprisonment of six individuals, two bankers, three lawyers and a financial controller, for conspiracy to defraud

Court has no jurisdiction under Section 213 of the SFO to determine contraventions of insider dealing provisions

Herbert Smith Freehills LLP
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Hong Kong
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June 29 2011

The Court of First Instance has ruled that it does not have jurisdiction under section 213 of the Securities and Futures Ordinance (Cap. 571) ("SFO") to make a declaration that Tiger Asia Management LLC ("Tiger Asia") engaged in insider trading contrary to section 291(5) of the SFO

Insurance regulatory reform an independent insurance authority proposed

Herbert Smith Freehills LLP
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Hong Kong
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July 22 2010

The Financial Services and Treasury Bureau has recently launched a three-month public consultation on the "Proposed Establishment of an Independent Insurance Authority"

Shanghai Land: Hong Kong Court of Appeal quashes conviction of banker

Herbert Smith Freehills LLP
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Hong Kong
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April 1 2010

In September 2008, the Hong Kong District Court convicted two bankers, three financecorporate lawyers and a listed company financial controller, of conspiracy to defraud in connection with their work on the takeover of imGO (later renamed "Shanghai Land"

Regulator triumphs as issuer is delisted

Herbert Smith Freehills LLP
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Hong Kong
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January 15 2010

The shares in Sanyuan Group Limited have recently been delisted from the Hong Kong Stock Exchange after a suspension of over five years and seven months

Hong Kong legislature passed bill to allow conformity with latest international standard of tax information exchange

Herbert Smith Freehills LLP
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Hong Kong
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January 11 2010

The Legislative Council of Hong Kong last Wednesday passed the Inland Revenue (Amendment) (No. 3) Bill 2009

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