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01 Jun 2022

Bookbuilding and placing activities


In 2021, to address concerns surrounding the conduct of financial intermediaries in the price discovery process in capital market transactions, the Securities and Futures Commission ("SFC") introduced new provisions to the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (the "Code of Conduct"). These new provisions of the Code of Conduct (the "New Code Provisions") govern the conduct of intermediaries (such as sponsors, placing agents and co-ordinators) in capital market transactions that involve bookbuilding or placing activities. These new provisions will come into effect on 5 August 2022.

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Jane Ng

Jane Ng

T:  +852 2533 2828 M:  Email Jane | Vcard Office:  Hong Kong

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