Practical Sharing on Handling Transactions & Related Queries to Reduce Enforcement Risk

  • English

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


  • Ms Amy Yu, Partner, Eversheds Sutherland
  • Mr Alvin So, Associate, Eversheds Sutherland
  • Ms Wendy Ho FCG HKFCG(PE), Council Member, HKCGI; Executive Director, Corporate Services, Tricor Services Limited (Chair)


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

(Recorded in December 2022)

Level: Intermediate

Speakers' bio:
Ms Amy Yu
Mr Alvin So

Got Questions?

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