Practical Sharing on Handling Transactions & Related Queries to Reduce Enforcement Risk (Hybrid-Online Attendance)

  • Wednesday 07 Dec 2022

  • 4.00 pm – 5.30 pm

  • English

  • This page is made for online session. If you wish to enrol in the physical session, please scroll down for the registration link.

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


  • Ms Amy Yu, Partner, Eversheds Sutherland
  • Mr Alvin So, Associate, Eversheds Sutherland


When a transaction is done, the risk of enforcement is a matter that might keep directors and senior management, including company secretary, awake at night, especially with much expanded and enhanced Exchange regulatory enforcement.  This seminar is a practical sharing by experienced specialists advising listed companies and senior management on transactional related Listing Rules compliance and managing ad-hoc regulatory enquiries (including related to notifiable transactions and connected transactions under Chapters 14 & 14A). 

This seminar will cover the following topics:

  • The Exchange's enforcement trends
  • Refresher on key Listing Rules regulatory issues
  • Common pitfalls
  • Practical sharing to pre-empt breaches, address queries and remediation
  • Practical tips on ongoing risk mitigation

This is the online session. If you wish to enrol in the physical session, please click HERE.

Remarks on this Online Session:

  • Registration will be closed on 6 December 2022 at 5.00pm.
  • Once enrolment in this online session is confirmed by the Institute, requests to change to physical session will not be entertained.
  • Online session will be delivered via Zoom facility. The Institute has made every effort to ensure that the quality of the internet connection is sufficient for media streaming. Attendees should ensure that they are in an area of stable internet connection with suitable bandwidth as this can affect user’s experience.

Level: Intermediate

Speakers' bio:
Ms Amy Yu
Mr Alvin So

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.

Venue Sponsor: Eversheds Sutherland

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