Regulatory & SFC Compliance

  • Notifiable Transactions Listing Rules: Chapter 14

    The purpose of Chapter 14 of the Listing Rules is to provide shareholders of listed companies and the general public timely disclosure of relevant information so that the public and the investors are kept fully informed of information which is necessary for them to appraise the position of the listed group. It will also provide an opportunity for them to participate in major corporate decisions. This course will provide an in-depth and detailed analysis of the current requirements in Chapter 14 of the Listing Rules by way of flowcharts and examples.

    26 May, 2018

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  • Notifiable Transactions Listing Rules: Chapter 14

    The purpose of Chapter 14 of the Listing Rules is to provide shareholders of listed companies and the general public timely disclosure of relevant information so that the public and the investors are kept fully informed of information which is necessary for them to appraise the position of the listed group. It will also provide an opportunity for them to participate in major corporate decisions. This course will provide an in-depth and detailed analysis of the current requirements in Chapter 14 of the Listing Rules by way of flowcharts and examples.

    30 Mar, 2019

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  • Nuts & Bolts of Continuing Compliance by Listed Companies

    All listed companies are required to comply with ever more stringent reporting and disclosure requirements. Under Part XIVA of the Securities and Futures Ordinance (SFO) the Securities and Futures Commission (SFC) has the power to enforce if a listed company has breached a statutory disclosure obligation. Changes to the Listing Rules have been made over the past few years and more consultations conclusions concerning the Listing Rules were published in 2015. This course will give a comprehensive overview of the most current and updated continuing compliance requirements by listed companies, their directors and senior management.

    03 Oct, 2016

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  • Preparing for SFC Audits and Inspections

    In recent years the SFC has increased its investigations and on-site inspections of licensed intermediaries. Facing an inspection by the SFC can be daunting. This course is for Responsible Officers, executives and directors of Licensed Corporations as well as those who advise them. The course will give a comprehensive review of the process involved when market participants face an SFC inspection which may potentially be followed by a disciplinary action.

    08 Dec, 2016

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