Learning from Mistakes: Listing Rules Compliance and Enforcement (Webinar)

  • Wednesday 06 Dec 2023

  • 4.00 pm – 5.30 pm

  • Cantonese

  • Webinar session. No physical attendance is required.

  • 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.

Remarks on this Online Session:

  • Registration will be closed on 5 December 2023 at 10.00pm.
  • 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' 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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