As a leading advocate for the finance industry, we respond to the latest topical issues and proposed regulations relating to recommended practices, professional standards, and integrity in both the local finance industry and the global marketplace. We provide insights, comments and suggestions on consultation papers published by the government, regulators and other professional bodies, including the Hong Kong Stock Exchange and the Securities and Futures Commission.
| Date | Organization | Topic | Consultation Paper | Our Response |
|---|---|---|---|---|
| 16 August 2024 | HKEX | Review of Corporate Governance Code and Related Listing Rules | Download | Download |
| 27 May 2024 | Securities and Futures Commission (SFC) | Consultation on proposals to (i) introduce a statutory scheme of arrangement and compulsory acquisition mechanism for real estate investment trusts and (ii) enhance the SFO market conduct regime for listed collective investment schemes | Download | Download |
| 29 February 2024 | Financial Services and the Treasury Bureau (FSTB) and Hong Kong Monetary Authority (HKMA) | Consultation Paper on the Legislative Proposal to Implement the Regulatory Regime for Stablecoin Issuers in Hong Kong | Download | Download |
| Date | Organization | Topic | Consultation Paper | Our Response |
|---|---|---|---|---|
| 16 August 2024 | HKEX | Review of Corporate Governance Code and Related Listing Rules | Download | Download |
| 27 May 2024 | Securities and Futures Commission (SFC) | Consultation on proposals to (i) introduce a statutory scheme of arrangement and compulsory acquisition mechanism for real estate investment trusts and (ii) enhance the SFO market conduct regime for listed collective investment schemes | Download | Download |
| 29 February 2024 | Financial Services and the Treasury Bureau (FSTB) and Hong Kong Monetary Authority (HKMA) | Consultation Paper on the Legislative Proposal to Implement the Regulatory Regime for Stablecoin Issuers in Hong Kong | Download | Download |
| Date | Organization | Topic | Consultation Paper | Our Response |
|---|---|---|---|---|
| 11 December 2023 | Securities and Futures Commission (SFC) | Consultation Paper on the Proposed Guidelines for Market Soundings | Download | Download |
| 06 November 2023 | HKEX | Consultation Paper on GEM Listing Reforms | Download | Download |
| 14 July 2023 | HKEX | Consultation Paper on Enhancement of Climate-related Disclosures Under the Environmental, Social and Governance Framework | Download | Download |
| 30 June 2023 | Hong Kong Monetary Authority (HKMA) | Discussion Paper on Prototype of a Green Classification Framework for Hong Kong | Download | Download |
| 31 May 2023 | Hang Seng Indexes | Consultation Paper on Eligibility of Foreign Companies to the Hang Seng Index ("HSI") and Review Results of the Seven Industry Groups for HSI Constituent Selection and the Number of "HK" Constituents in the HSI | Download | Download |
| 31 March 2023 | Securities and Futures Commission (SFC) | Consultation Paper on the Proposed Regulatory Requirements for Virtual Asset Trading Platform Operators Licensed by the Securities and Futures Commission | Download | Download |
| Date | Organization | Topic | Consultation Paper | Our Response |
|---|---|---|---|---|
| 29 October 2021 | HKEX | Consultation Paper on Special Purpose Acquisition Companies (“SPAC”) | Download | Download |
| 02 September 2021 | Legislative Council | Financial Reporting Council (Amendment) Bill 2021 | Download | Download |
| 17 June 2021 | HKEX | Consultation Paper on Review of Corporate Governance Code and Related Listing Rules | Download | Download |
| 28 May 2021 | HKEX | Consultation Paper on Listing Regime for Overseas Issuers | Download | Download |
| 10 February 2021 | Securities and Futures Commission (SFC) | Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners | Download | Download |
| 27 January 2021 | HKEX | Consultation Paper on Main Board Profit Requirement | Download | Download |
| 15 January 2021 | Securities and Futures Commission (SFC) | Consultation Paper on the Management and Disclosure of Climate-related Risks by Fund Managers | Download | Download |
| Date | Organization | Topic | Consultation Paper | Our Response |
|---|---|---|---|---|
| 14 August 2020 | Consultation Paper on Proposed Amendments to the Code on Real Estate Investment Trusts | Download | Download | |
| 08 August 2020 | Consultation Paper on Review of Listing Rules Relating to Disciplinary Powers and Sanctions | Download | Download | |
| 22 August 2019 | Consultation on Proposed Limited Partnership Fund Regime | Download | Download | |
| 18 July 2019 | Consultation Paper on Review of the ESG Reporting Guide and Related Listing Rules | Download | Download | |
| 09 April 2019 | Joint Consultation Paper on a Revised Operational Model for Implementing an Uncertificated Securities Market in HK | Download |
Download (19 Jan 2019) Download (9 Apr 2019) |
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| 14 January 2019 | Bills Committee on Inland Revenue (Profits Tax Exemption for Funds) (Amendment) Bill 2018 | Download | Download | |
| 30 November 2018 | Proposal Relating to Listed Issuers with Disclaimer or Adverse Audit Opinion on Financial Statements | Download | Download | |
| 20 August 2018 | Consultation Paper on the OTC derivatives regime for Hong Kong – Proposed margin requirements for non-centrally cleared OTC derivative transactions | Download | Download | |
| 11 May 2018 | Further Consultation on Offline Requirements Applicable to Complex Products | Download | Download | |
| 21 March 2018 | A Listing Regime for Companies from Emerging and Innovative Sectors | Download |
Download (Joint Reply) Download (CFAHK Reply) |
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| 21 November 2017 | Consultation Paper on Capital Raisings by Listed Issuers | Download |
Download Reply Download Comments |
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| 18 August 2017 | Consultation Paper on Review of the GEM and Changes to the GEM and Main Board Listing Rules and and New Board Concept Paper | Download | Download | |
| 21 July 2017 | Consultation Paper on the Proposed Guidelines on Online Distribution and Advisory Platforms | Download | Download | |
| 03 April 2017 | Consultation Paper on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules | Download | Download | |
| 30 March 2017 | Proposed Extension of Profits Tax Exemption to Onshore Privately Offered Open-ended Fund Companies | Download | Download | |
| 28 February 2017 | Consultation Paper on Proposals to Enhance Asset Management Regulation and Point-of-sale Transparency | Download | Download | |
| 30 November 2016 | Consultation on “Proposals to Enhance the Financial Dispute Resolution Scheme” | Download | Download | |
| 17 November 2016 | Consultation Paper on Proposed Enhancements to the Exchange’s Decision-Making and Governance Structure for Listing Regulation | Download | Download | |
| 31 May 2016 | Consultation Paper on Proposal for Revision of the Stock Option Position Limit Model | Download | Download | |
| 27 April 2016 | Exposure Draft of the Guidance Statement on Broadly Distributed Pooled Funds | Download | Download | |
| 05 January 2016 | Mandatory Provident Fund Schemes (Amendment) Bill 2015 | Download | Download | |
| 18 September 2015 | Consultation Paper on Review of the Environmental, Social and Governance Reporting Guide | Download | Download | |
| 30 June 2015 | Consultation Paper on Automatic Exchange of Financial Account Information in Tax Matters in Hong Kong | Download | Download | |
| 02 June 2015 | Consultation Paper on the Principles of Responsible Ownership | Download | Download | |
| 27 April 2015 | Industry Consultation on the draft Specification of Competency Standards (SCSs) of the Banking Industry – Private Banking Branch | Download | Download | |
| 10 April 2015 | Proposal for Introduction of Volatility Control Mechanism in the Securities and Derivatives Markets and Closing Auction Session in the Securities Market | Download | Download | |
| 28 November 2014 | Concept Paper on Weighted Voting Rights | Download |
Download Reply Download Additional Reply |
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| 30 September 2014 | Providing Better Investment Solutions for MPF Members | Download | Download | |
| 29 August 2014 | Amendments to Terms of Reference to Allow for Disciplinary Proceedings | Download | Download | |
| 19 June 2014 | Open-ended Fund Companies | Download | Download | |
| 25 April 2014 | Regulation of Alternative Liquidity Pools | Download | Download | |
| 04 April 2014 | An Effective Resolution Regime for Financial Institutions in Hong Kong | Download | Download | |
| 26 February 2014 | Amendments to the Code on Real Estate Investment Trusts | Download | Download | |
| 10 December 2013 | Detailed Proposal of an Enhanced Competency Framework for Private Wealth Management Practitioners in Hong Kong | Download | Download | |
| 30 September 2013 | Securities and Futures (Amendment) Bill 2013 | Download |
Download Comment Download Speaking Note |
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| 14 August 2013 | Proposed Amendments to the Professional Investor Regime and the Client Agreement Requirements | Download | Download | |
| 06 November 2012 | Board Diversity | Download | Download | |
| 18 October 2012 | Supplemental consultation on the OTC derivatives regime for Hong Kong | Download | Download | |
| 04 October 2012 | Trading Halts | Download | Download | |
| 05 July 2012 | Regulation of Sponsors | Download | Download | |
| 21 May 2012 | Detailed Legislative Proposals on Trust Law Reform | Download | Download | |
| 13 January 2012 | Qualifying Criteria for Private Companies to Prepare Simplified Financial and Directors’ Reports | Download | Download | |
| 03 October 2011 | Securities and Furtures (Amendment) Bill 2011 | Download | Download |