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

  • Wednesday 07 Dec 2022

  • 4.00 pm – 5.30 pm

  • English

  • 37/F, One Taikoo Place, Taikoo Place, 979 King's Road, Quarry Bay, Hong Kong (This page is made for physical session. If you wish to enrol in the online 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 physical session. If you wish to enrol in the online session, please click HERE.

Remarks on this Physical Session:

  • Physical seats are limited and shall be taken on first-come first served basis. Registration will be closed on 5 December 2022 at 5.00pm.
  • Once enrolment in the physical session is confirmed by the Institute, requests to change to online session will not be entertained.
  • Physical attendance is subject to the social distancing rules in place at the time of the Session. The Institute reserves the right to convert enrolment in the physical session into online session.
  • Physical attendees are required to comply with the social distancing rules of Venue Sponsor and to fill in a form of health declaration. Names of physical attendees will be supplied by the Institute to Venue Sponsor in this connection.

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

Got Questions?

Visit our FAQs or contact the Professional Development Section: 2881 6177 or email:

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