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This quarterly update (July to September 2013) highlights recent developments in Hong Kong capital markets practices:
Topical Issue
- New IPO Sponsor Regulatory Regime – effective on 1 October 2013
- Reasons for returning listing applications – listing decision
Procedures and Waivers
- Pre-conditions for waiver – minerals companies – unable to satisfy the profit test, market capitalisation/revenue/cash flow test or market capitalisation/revenue test
Disclosure Requirements and Guidance
- Pre-IPO investments – additional guidance – disclosure requirements – consequences of not complying with the relevant guidance
- PRC/Hong Kong land and properties – Title Certificates and disclosure requirements
- Simplification series – White and Yellow Application Forms (AFs) – the “How to Apply for Hong Kong Offer Shares” section in a prospectus (HTA)
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