Post listing trends and compliance of listed companies - Workshop 2018

The Hong Kong listing regime is regarded as one of the best in the Asia Pacific region and our market is the key choice for PRC companies seeking an overseas listing. This workshop will provide you with insights on the macro environment of compliance and an overview in the context of a listed company.

Key topics covered:

  • Updates on the regulations governing the Hong Kong securities market
  • Enforcement of the listing rules
  • Corporate Governance
  • Regulatory requirements and duties of the management of listed firms
  • How directors may reduce risks and liabilities during their daily work
  • Connected transactions
  • Disclosures
  • The new guidance note on cooperation with the SFC (cooperation may be recognised by the SFC in the form of reduced sanctions)
  • HKEX’s innovation to facilitate listings of companies from emerging and innovative sectors

Trainer profile:

C.K. Poon FCPA (Aust.) has been working in the financial and securities field for more than 26 years. He has extensive experience in listing regulatory, governance, and corporate finance advisory. He also lead a number of sizable Main Board and Growth Enterprise Market of The Hong Kong Exchanges and Clearing Limited equity transactions.

Mr Poon holds a master degree in international accounting, a postgraduate certificate in laws, a LLB and a bachelor degree in business studies. He is FCPA (Aust.), a fellow member of the Institute of Chartered Secretaries and Administrators, The Hong Kong Institute of Chartered Secretaries, and Hong Kong Securities and Investment Institute. He is also a director of certain listed companies. He had been an independent director of such company as Tsingtao Brewery Company Limited (A/H shares).

Learning objectives

  • Gain knowledge of the enforcement status of listing rules
  • Understand company governance structure
  • Identify director duties and liabilities
  • Apply connected transaction handling process
  • Illustrate compliance cases
  • Understand directors’ liabilities and continuing obligations of listed companies
  • Understand how to handle inside information
  • Gain knowledge of securities trading by directors and disclosure of interests
  • Recognise violation investigation and punishment for directors


This workshop is suitable for those CPA and senior management team who are not familiar with, but are interested in governance trend of HK listed companies.

3 hours