FSR and Corporate Crime Notes
Tag: sponsors
Showing 7 out of 7 results
HONG KONG SFC CONTINUES TO IDENTIFY DEFICIENCIES IN SPONSOR WORK IN SECOND THEMATIC REVIEW
On 26 March 2018, the Securities and Futures Commission (SFC) published a circular and a report following its second thematic review of sponsors. As with …
UK Listing Rules: fine for failing to identify related party transactions
The FCA's recent fine for breaches of the Listing Rules, principally in respect of failures in systems and controls to identify related party …
UK: FCA publishes some final changes (and further proposals for change) to the Sponsor Regime
On 26 September, the FCA published its response to its January consultation paper in relation to sponsor competence (CP14/2), together with a further …
Hong Kong: former responsible officer of SHKI suspended for sponsor-related failures
The Securities and Futures Commission (SFC) has suspended Mr. Eric Shum Kam Chi as a representative in all regulated activities and withdrawn approval …
SFC says no legislative changes needed to make Sponsors liable for prospectuses
Last Friday, the SFC issued supplemental consultation conclusions covering prospectus liability for sponsors. The SFC has concluded that sponsors …
Hong Kong Stock Exchange publishes changes to the Listing Rules in preparation for the implementation of the new Sponsors' Regime
On Tuesday, the Hong Kong Stock Exchange published its eagerly awaited changes to the Listing Rules to implement the changes made necessary as a result …
Hong Kong SFC revokes IPO sponsor's licence to advise on corporate finance
On 22 April 2012, the Securities and Futures Commission ("SFC") announced that it had revoked Mega Capital (Asia) Company Limited's ("Mega Capital") …