Speaker(s)
- 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)
Description
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