On 3 October 2024, the International Capital Market Association (ICMA) published the Hong Kong[1] voluntary Code of Conduct for ESG Ratings and Data Products Providers (Code of Conduct).[2] Sponsored by the Hong Kong Securities and Futures Commission (SFC), the Code of C...
On October 6, 2024, the Hong Kong Code of Conduct for ESG Ratings and Data Products Providers (VCoC) was published to establish and promote a consistent, interoperable, and proportionate voluntary code for providers offering ESG ratings and data products and services in Hong Kong (Provid...
HK: SFC – Client Suitability The SFC Client Suitability rules add a lot of detail to the Code of Conduct (CoC) but they apply to all non-Professional Investors. Our Client Suitability solution enables clients to ensure they can evidence compliance with the regulatory requirements: Client Investme...
Due Diligence Guidelines | Chapter 29.2 - SFC’s Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
In terms of next steps: ·The SFC will conduct a separate consultation on the maximum levels of certain USM-related fees (Note 5). ·The SFC, together with Hong Kong Exchanges and Clearing Limited and the Federation of Share Registrars Limited, will engage with issuers, investors and other ...
with the general principles of being honest with clients, acting in the best interests of clients, disclosing conflicts of interest and taking all reasonable steps to ensure fair treatment of clients if conflicts of interest cannot be avoided, as required under the SFC’s Code of Condu...
Currently, Hong Kong open-ended investment vehicles can only be established in the form of a unit trust in the absence of a HK open-ended corporate vehicle (OFC). However, with the issuance by the SFC of the relevant rules and code on 28 June 2017 for public consultation, HK is close ...
10 June ETFs to be included in Hong Kong-China Stock Connect 3 May HKEx Listing Rule Amendments reflect New SFC Code of Conduct Provisions for Issuers and Intermediaries involved in Bookbuilding and Placing Activities 28 April SFC Releases End-To-End Test Packages and File Transfer Connectivity ...
The Hong Kong Securities and Futures Commission (the "SFC") on 12 December 2012 published its consultation conclusions on the regulation of Hong Kong IPO sponsors (the "Consultation Conclusions"). As a result, key obligations of sponsors will be consolidated and centralized in a new paragraph 17...
HKEx has amended the Listing Rules to codify the SFC’s new requirements on book-building and placing activities under the Code of Conduct for Persons Licensed by or Registered with the SFC (covered in ourFebruary 2022 Hong Kong Regulatory Update). The new rules apply to all primary and secon...