Market Turnover
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30
Apr 2024
Red flags in loans and lending activities
cover_202404
27
Sep 2023
Navigating conflicts of interest and duty through effective conflict management
cover_newsletter202309_e
20
Mar 2023
What constitutes good disclosure and the inadequacy of only giving a “partial truth”
202303
17
Aug 2022
The importance of good record-keeping by issuers and company directors and how it may benefit them in our enforcement actions
202208
04
Feb 2022
A spotlight on internal controls including dispelling common misunderstandings of what is required
202202
15
Jul 2021
Enhancements for the future of enforcement: Enforcement priorities for 2021 and beyond
202107
04
Nov 2020
Focus on the director onboarding process with a view to better corporate governance
202011
13
Mar 2020
How the Enforcement Department interacts with other regulatory agencies in Hong Kong
202003
09
Aug 2019
Interview with Tom Butlin, Head of Enforcement of the Listing Department; new review structure relating to disciplinary matters
201908
01
Feb 2019
Obligations of listed issuers and directors when communicating with the Exchange
201902
26
Jul 2018
“I relied on the Executive Directors” – roles and responsibilities of Non-Executive Directors
201807
02
Feb 2018
Interview with Listing Committee Chairman Andrew Weir on importance of corporate governance
201802
15
Jul 2017
New publication highlighting updated Enforcement themes and Listing Rule compliance observations
201707