Listing Rules Foundation Course Series (Session Two: Chapter 14 - Notifiable Transactions) (Hybrid-Physical Attendance)

  • Wednesday 31 Jul 2024

  • 1.45 pm – 3.45 pm

  • Cantonese

  • HKEX Connect Hall, 1/F, One and Two Exchange Square, Central, Hong Kong

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


  • Mr David Simmonds FCG HKFCG, President, HKCGI; Chief Strategy, Sustainability and Governance Officer, CLP Holdings Limited (Keynote speaker)
  • Ms Stephenie Fung, Vice President, Listed Issuer Regulation, Listing Division, HKEX
  • Ms Anna Chow, Vice President, Listed Issuer Regulation, Listing Division, HKEX
  • Mr Michael Ling FCG HKFCG, Chairman of Technical Consultation Panel, HKCGI; Joint Company Secretary, CLP Holdings Limited (Moderator)
  • Mr Patrick Yu, Senior Vice President, Listed Issuer Regulation, Listing Division, HKEX (Panellist)
  • Mr Tommy Tam, Partner, Clifford Chance (Panellist)
  • Ms Polly Wong FCG HKFCG(PE), Member of Professional Development Committee, HKCGI; Company Secretary / Group Financial Controller, Dynamic Holdings Limited (Panellist)
  • (in order of appearance)


The topics covered in this seminar are: 

  • Essential continuing compliance obligations under Chapter 14 of Listing Rules
  • Learn to address areas of Listing Division’s concern
  • Key areas for directors’ oversight
  • How company secretaries and governance professionals could provide effective support to the chairman and the board

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 27 July 2024 at 2.00pm.
  • 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.

Interested parties are invited to join any or all of the 3 sessions. For details and registration of two other sessions, please click the below links.

Session One [Online] / [Physical] Chapter 13 - Continuous Obligations 28 June 2024 (3.00pm to 5.30pm)
Session Two [Online] / [Physical] Chapter 14 - Notifiable Transactions 31 July 2024 (1.45pm to 3.45pm)
Session Three [Online] / [Physical] Chapter 14A - Connected Transactions 26 August 2024 (3.00pm to 5.30pm)

Level: Intermediate

Keynote speaker, Moderator, Speakers and Panellists' bio:(in order of appearance)
Mr David Simmonds
Mr Michael Ling 
Ms Stephenie Fung
Ms Anna Chow
Mr Patrick Yu
Mr Tommy Tam
Ms Polly Wong

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





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