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Results: 1-10 of 21

Tiger Asia appeal dismissed - the final word on section 213

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • May 1 2013

Yesterday the Hong Kong Court of Final Appeal, led by Chief Justice Ma, ruled in favour of the Securities and Futures Commission ("SFC") in the long

Electronic trading : new Hong Kong regulations in 2014

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • April 22 2013

High frequency (HF) and algorithmic (algo) trading1 has attracted regulators' attention for some time. Following global initiatives to regulate HF

The Hong Kong sevens: tackling seven issues in the licensing of "regulated activities" under the Securities and Futures Ordinance

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • March 26 2013

Regulators across the globe have been increasingly proactive in detecting and taking action against unlicensed activities. Taking the Hong Kong

Sponsors in the spotlight: a more stringent Hong Kong regulatory framework for due diligence in initial public offerings

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • January 21 2013

The Hong Kong Securities and Futures Commission ("SFC") has just issued its consultation conclusions proposing a stringent regulatory regime for

Update on the SFC Code of Conduct - whistleblowing HK style

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • December 18 2012

Amendments to the SFC Code of Conduct (“Code”) were announced earlier this year and the majority came into effect over the weekend, on 1 December 2012

Update on the SFC Code of Conduct - whistleblowing HK style

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • December 3 2012

The new reporting requirement The major change to the Code is a new paragraph in the reporting section of the Code (section 12

Share and share alike? Sharing of information with, and between, regulators

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • September 6 2012

Firstly, the Hong Kong Securities and Futures Commission announced it is seeking a court order to compel an auditor to hand over audit working papers which the auditor has so far not provided, due to PRC regulatory constraints

True purpose trumps false trading: traders acquitted of market misconduct

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • July 21 2012

The Court of Final Appeal (the “CFA”) of Hong Kong has allowed the appeals of two traders, quashing their convictions for creating a false or misleading appearance of active trading contrary to the market misconduct provisions of the Securities and Futures Ordinance (the “SFO”), and setting aside their sentences

Combating market misconduct - section 213 strikes again... and where or what else will it strike?

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • July 16 2012

The Securities and Futures Commission (SFC) has been steadily getting more creative in the use of its powers and we can expect it to continue to do so, given its recent success in obtaining compensation for investors for financial misstatements in a company's prospectus

To see or not to see: the question of disclosing documents without losing privilege answered in Hong Kong

  • King & Wood Mallesons
  • -
  • Hong Kong
  • -
  • July 12 2012

The case concerned six legally privileged documents (Documents) which Citic Pacific Limited (Citic) had voluntarily provided to the Securities and Futures Commission (SFC) in connection with an October 2008 investigation into Citics delay in publishing information which would have a material impact on its share price (Investigation

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