SFC Enforcement Action and Investigative Powers

The SFC and Its Scope of Power The Securities and Futures Commission (SFC) is an independent non-governmental statutory body whose authority is to regulate Hong Kong’s financial markets. The Securities and Futures Ordinance (SFO)_came into operation in April 2003 and it contains civil and criminal provisions for dealing with financial misconduct. Commencement of SFC Enforcement […]

Nick GallSenior Partner, Gall Solicitors

HKEx Publishes Findings of Latest Review of Issuers’ Annual Report Disclosures

On 29 January 2021, the Stock Exchange of Hong Kong (the HKEx) published its 2020 Review of Issuers’ Annual Report Disclosure. The review focuses on (i) examining issuers’ annual reports in terms of compliance with the HKEx Main Board Listing Rules and GEM Listing Rules (the HKEx Listing Rules), issuers’ corporate conduct and issuers’ disclosure […]

Julia CharltonPartner, Charltons

HKEx Publishes Findings of Latest Review of Issuers’ Annual Report Disclosures

On 29 January 2021, the Stock Exchange of Hong Kong (the HKEx) published its 2020 Review of Issuers’ Annual Report Disclosure. The review focuses on (i) examining issuers’ annual reports in terms of compliance with the HKEx Main Board Listing Rules and GEM Listing Rules (the HKEx Listing Rules), issuers’ corporate conduct and issuers’ disclosure […]

Clinton MorrowPartner, Charltons

SFC Consults on Proposed Code of Conduct on Hong Kong Bookbuilding and Placing Activities and Proposal on HKEx Sponsor Coupling

On 8 February 2021, the Securities and Futures Commission (the SFC) published a consultation paper on (i) a proposed SFC Code of Conduct for Hong Kong Bookbuilding and Placing Activities in Equity Capital Market and Debt Capital Market Transactions (the SFC Proposed Code); and (ii) a proposal to introduce HKEX “sponsor coupling”, which would require […]

Clinton MorrowPartner, Charltons

SFC Consults on Proposed Code of Conduct on Hong Kong Bookbuilding and Placing Activities and Proposal on HKEx Sponsor Coupling

On 8 February 2021, the Securities and Futures Commission (the SFC) published a consultation paper on (i) a proposed SFC Code of Conduct for Hong Kong Bookbuilding and Placing Activities in Equity Capital Market and Debt Capital Market Transactions (the SFC Proposed Code); and (ii) a proposal to introduce HKEX “sponsor coupling”, which would require […]

Julia CharltonPartner, Charltons

Compulsory Testing and Lockdowns: What do Employers Need to Know?

The Hong Kong Government has lowered the threshold for compulsory COVID-19 testing to identify and curb the transmission chain of COVID-19 by implementing new measures under the Prevention and Control of Disease (Compulsory Testing for Certain Persons) Regulation (Cap. 599J) (“Regulation”). In this article, we consider the implications for employers and how to minimise the […]

Nick GallSenior Partner, Gall Solicitors

China’s New Civil Code and its Impact on Sexual Harassment in the Workplace

Background on #Metoo in China The issue of sexual harassment and the #MeToo movement in mainland China has burst into the spotlight again recently. Demonstrators defied restrictions on public protests and mass gatherings to collect outside a Beijing court in December in support of Zhou Xiaoxuan (“Zhou”), a young woman bringing a claim of sexual […]

Nick GallSenior Partner, Gall Solicitors

Managing Annual Leave in Hong Kong During COVID-19

The COVID-19 pandemic has thrown up many challenges for businesses. Severe and sustained travel restrictions, as well as other uncertainties, have resulted in many employees not taking time off and thus having significant accrued but untaken annual leave entitlements. This creates potential risk for companies. Productivity may be affected if employees all take extended or […]

Nick GallSenior Partner, Gall Solicitors

Member Spotlight – From golf tournaments to Ronald McDonald House – Dominic has no plans to slow down

When Dominic Wai first left school he had two careers in mind – journalism or the law. Both of them appealed to his natural sense of justice and order, and he liked unravelling puzzles and finding simple solutions. But his dad told him journalism wouldn’t pay and he failed his entrance exam for Hong Kong’s […]

Dominic WaiPartner, ONC Lawyers

The impact of COVID-19 on temporary removal of children out of Hong Kong

Every year before long holidays i.e. Christmas, Easter and Summer, family law practitioners would often be busy dealing with their clients’ applications for temporary removal of children out of Hong Kong for their holiday travel.  2020 has been very different.   Due to the COVID-19 outbreak and with the lockdown and travel restrictions around the […]

Nick GallSenior Partner, Gall Solicitors