Early release by the SFC from a suspension from acting as IPO sponsor: Reminder on the regulator’s policy focus on intermediaries’ conduct

In this Client Briefing, we highlight some of the remarks made by the Commission in reaching its decision, in particular some positive features in UBS’s internal governance and control processes, which the Commission stated was assessed at standards which were “equivalent to those that are expected to be adopted by all licensed sponsors”.

To view the Chinese language version of this briefing, please click here.