In today's dynamic regulatory landscape, listed issuers in Hong Kong face increasing regulatory scrutiny from the Hong Kong Stock Exchange and regulatory authorities, making it imperative for listed issuers to stay informed about their compliance obligations.

The new Regulatory and Compliance Series for Listed Issuers is designed to provide directors and compliance officers of listed issuers and other participants who have to deal with regulatory and compliance issues of listed issuers with an overall view of the major regulatory issues that listed issuers in Hong Kong will face post-listing. The series will cover major compliance topics and legal and regulatory updates on major and proposed changes to the Hong Kong Listing Rules during the relevant periods. Cases and relevant court judgments will be discussed as part of the training materials.

​​Regulatory and Compliance Series for Listed Issuers: Legal and Regulatory Updates (1) (archived session) (ESEMEF304L01)

This e-seminar will focus on legal and regulatory updates in 2024/25. Topics include:

• HKEX and Listing Rules:
  • Consultation conclusions on corporate governance (Dec 2024)
  • Market consultation on IPO price discovery process and open market requirements (Dec 2024)
  • Joint Statement on Enhanced Timeframe for New Listing Application Process (Oct 2024)
  • Disciplinary case (dubious loans) – China General Education (Oct 2024)
  • Disciplinary case (IPO proceeds) – Global Uin Holdings (Mar 2024)
  • GL120-24, Guidance on investigations by long suspended issuers (Nov 2024)
  • GL104-19, revised and added Case 9 (updated in Sep 2024)

• Securities and Futures Commission (SFC):
  • SFC reprimanded and fined Hang Seng Bank for misconduct in selling practices of investment products (Jan 2025)
  • SFC's circular on use of generative AI language models (Nov 2024)
  • SFC's circular on listed structured funds (Jan 2025)
  • SFC's Takeovers Bulletin Issue No. 71 (Dec 2024)

• Market Misconduct Tribunal:
  • Report on insider dealing in the shares of Asiasec Properties Limited (271) (Jan 2025)

​​Notice

This course operates under a learning management system (LMS) designed to enhance the learning experience. The course will be available to LMS-registered users within 24 hours. (Note: first-time user will receive an activation email shortly from no-reply@lmsmailbox.hkicpa.org.hk containing instructions to activate an LMS account.) The viewing period for the course is 180 days.

Offline enrolment form