Learning from Mistakes: Listing Rules Compliance and Enforcement (Hybrid-Physical Attendance)

  • Wednesday 06 Dec 2023

  • 4.00 pm – 5.30 pm

  • Cantonese

  • Baker McKenzie: 13/F, One Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong (This page is made for physical session. If you wish to join online, please scroll down for the registration link of online session.)

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


  • Ms Christina Lee, Partner, Baker McKenzie
  • Mr Brian Wong, Partner, Baker McKenzie
  • Ms Roberta Chan, Partner, Baker McKenzie
  • Mr Mohan Datwani FCG HKFCG(PE), Deputy Chief Executive, The Hong Kong Chartered Governance Institute (Chair)


In this seminar, experienced practicing lawyers will provide a comprehensive understanding of the latest enforcement trends of Hong Kong securities regulators, and will share their expertise and insights on cases involving non-compliance with the Listing Rules, as well as the implications that arise from such non-compliance. Through engaging case studies, participants will gain valuable knowledge and practical guidance on avoiding common pitfalls and ensuring compliance with the Listing Rules.

Key Topics to be Covered:

  • Overview of the latest enforcement trends of Hong Kong securities regulators
  • Implications and consequences of non-compliance
  • Case studies illustrating real-life examples of non-compliance and its impact
  • Best practices for ensuring compliance with the Listing Rules

Who Should Attend:

This seminar is designed for professionals working in the legal, compliance, and corporate governance fields, including lawyers, company secretaries, compliance officers, and directors. It will also be beneficial for individuals involved in listed companies or those seeking to enhance their understanding of regulatory compliance in Hong Kong.

This is the physical session and physical attendance is required for CPD counting purpose. If you wish to join online, please click HERE for the online session.

Remarks on this Physical Session:

  • Physical seats are limited and shall be taken on first-come first served basis. Registration will be closed on 4 December 2023 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 weather condition at the time of the seminar. The Institute reserves the right to convert enrolment in the physical session into online session.

Level: Intermediate

Speakers' and Chair's bio:

Ms Christina Lee
Mr Brian Wong
Ms Roberta Chan
Mr Mohan Datwani

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.

Got Questions?

Visit our FAQs or contact the Professional Development Section: 2881 6177 or email: cpd@hkcgi.org.hk

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