HKEx Update on Disciplinary Proceedings
Thu, Oct 30
|Via Zoom
The Stock Exchange takes compliance with the Listing Rules seriously and it will bring disciplinary actions for breaches of the Listing Rules and may refer the matter to the SFC and other enforcement agencies if the breaches involve contravention of the Securities & Futures Ordinance or other legisl
Time & Location
Oct 30, 2025, 11:00 a.m. – 12:30 p.m.
Via Zoom
About the event
Highlights of the course include:
• Types of breaches which are the most common: e.g. connected and notifiable transactions, disclosure of PSI, breach of Model Code, misstatement in prospectus, late filing of annual reports, etc.
• Role of executive and non-executive directors and INEDs – any difference in standards of care?
• Nature and extent of the “Director’s Undertaking” given to the Exchange – what does this mean?
• Enforcement strategy of the Exchange
• Types of sanctions to be imposed