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SFC Enforcement Actions Tracker (UPDATED)
Showing SFC enforcement actions which resulted in fines of HKD1 million or more as at 25 July 2022. Please see full Publication below for more information.
- New SFC Requirements For Management And Disclosure Of Climate-related Risks: First Deadline For Compliance Is On 20 August 2022
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The SFC’s recent regulatory enforcement trends
Recent annual and quarterly reports published by the Securities and Futures Commission (SFC) of Hong Kong highlight the SFC’s regulatory work for the period dated April 2020 to December 2021 (the 2020/2021 Period). The reports take a look back at the 2020/2021 Period and also sets out the SFC’s strategic priorities which it plans to pursue in order to fulfil its intention to strengthen Hong Kong’s status as an international financial centre. This article summarises the key trends in the SFC’s enforcement agenda which market participants can expect to continue in the year ahead. Please see full Publication below for more information.
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Amendments to Listing Rules Relating to Share Schemes of Hong Kong Listed Issuers
The requirements under Chapter 17 of the Listing Rules applicable to share option schemes will also govern share award schemes under the amendments that will become effective 1 January 2023. Both share option schemes (which grant options to subscribe for new shares) and share award schemes (which grant shares or equivalent units) serve to reward and incentivise employees to continue to contribute to the growth of the listed issuer and to ensure that their interests are aligned with those of the listed issuer and shareholders. The existing Chapter 17 of The Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited (the Listing Rules) currently only governs share option schemes. Please see full Alert below for more information.
- Hong Kong Court Clarifies Threshold For Setting Aside Awards
- Court Of First Instance Confirms 'Modern' Judicial Approach To Penalty Clauses In A Hong Kong Employment Case
- Mandatory Licensing Regime For Virtual Asset Exchanges In Hong Kong
- Hong Kong SFC's New Rules On Bookbuilding & Placing Activities Come Into Effect ' 5 August 2022
- Court ordered interim measures to support arbitration
- COVID-19 Related Circulars Or Guidance (Non-Exhaustive) Published By Financial Services Regulators Of Hong Kong (Last Updated: 29 July 2022)