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