Recent Listing Rules Enforcement Cases (Webinar)

  • Wednesday 13 Jul 2022

  • 4.00 pm – 5.30 pm

  • Cantonese

  • Webinar session. No physical attendance is required.

  • HKCGI Member, Graduate, Student, Affiliated Person & Non-Member


Ms Eve Chan, Partner, YC Solicitors


In recent years, the two key regulators in respect of compliance with the Hong Kong Listing Rules – the Hong Kong Stock Exchange (“HKEX”) and the Securities & Futures Commissions (“SFC”) – have been intensifying the supervision of stock market in accordance with their enforcement strategies and priorities. HKEX has been putting more focus against listed issuers and their directors & senior management for misfeasance. SFC has been taking a primary role in avoiding serious misconduct via pre-emptive actions.

This seminar will summarise some recent developments of the enforcement trend of the two regulators as well as the key areas listed issuers and their directors & senior management shall be aware of in the course of an enforcement action.


  • Recent development on Disciplinary Enforcement (Listing Rules amendments and statements and policies issued by HKEX)
  • Recent HKEX enforcement cases: failure to cooperate and misleading disclosure
  • Recent SFC enforcement cases on Listing Rules compliance

Level: Intermediate

Speaker's bio:
Ms Eve Chan

Seat guarantee will only be given to HKCGI Fellows and/or Practitioner’s Endorsement (PE) holders if registered 10 clear working days with payment prior to the date of the seminar.

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