Regulatory Alerts2007-03-26
Added · Updated
Preventive measure against multiple applications in initial public offerings (IPOs)
The Hong Kong Monetary Authority issued this circular on March 26, 2007, to implement preventive measures against multiple applications in initial public offerings. The document mandates that all authorized institutions establish specific controls to detect and prevent investors from submitting multiple IPO applications. These requirements are detailed in the accompanying annex which outlines the necessary operational controls versus multiple IPO applications.
CIR
Current
Issue Date:
26 Mar 2007
20070326-1-EN.pdf (327.6 KB)
Topic:
Wealth Management & MPF - Others
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Annex
Current
26 Mar 2007
Annex - Controls vs multiple IPO applications
CIR
Archive
22 Jul 2004
Enhanced security measures on refund cheques in initial public offerings (IPOs)
Annex
Current
26 Mar 2007
Annex - Controls vs multiple IPO applications
CIR
Archive
22 Jul 2004
Enhanced security measures on refund cheques in initial public offerings (IPOs)
Version History
Superseded Document
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