Event Information
Event code ESEMEF339L01 Language Cantonese
Event name Entities Listing on HKEX Series – Internal Controls for Listing Applicants and Listed Companies (archived session)
CPD hours 2.00
Competency Risk Management and Internal Control Sub-Competency Designing internal controls
Level 2 - Intermediate
Contact Payment & Enrolment at enrolment@hkicpa.org.hk / 2287 7381 or Course Information at online@hkicpa.org.hk / 2287 7435
Description

​​Entities Listing on HKEX Series – Internal Controls for Listing Applicants and Listed Companies (archived session) (ESEMEF339L01)

This e-seminar will focus on the latest corporate governance requirements for listing applicants and listed companies, and common internal control deficiencies in practice or resumption cases. Topics include:

  • Relevant guidelines, rules and regulations of Practice Note 21, Securities and Futures Commission (SFC) Code of Conduct, AATB 1 and Listing Rules Appendix C1
  • Latest corporate governance requirements for listing applicants and listed companies
  • Committee of Sponsoring Organizations of the Treadway Commission (COSO) – Integrated Framework
  • Areas of focus on corporate level controls and business level controls
  • Internal control review process
  • Handling internal control issues for the fulfilment of resumption guidance
  • Common internal control deficiencies in practice or resumption cases

​​Notice

This course operates under a new Learning management system (LMS) that is designed to enhance your learning experience. To gain access to LMS, please register for an LMS account. Within a day, you will receive an e-mail from LMS containing your login ID and a one-time password for activation. 

If you have already registered an LMS account, you will be able to access the course within 24 hours. 
The viewing period is 180 days.

Offline enrolment form
Event Date
Date / Time CPD hours Notes
13 Feb 2026 00:00 - 31 Dec 2099 23:59 2.00 *** You will have unlimited access to this e-programme within 180 days after registration. ***
Fee Information
Type Fee (HKD)
Enrolment Member 160.00
Student 160.00
Non-member 360.00
Enrolment Date
Enrolment from 13 Feb 2026 (00:00) to 31 Dec 2099 (23:59)
Series
ESEMEF250L01 - Entities Listing on HKEX Series – Session 1: Disclosure of Inside Information (archived session) (30 Oct 2024 00:00 - 31 Dec 2099 23:59)
ESEMEF251L01 - Entities Listing on HKEX Series – Session 2: Connected Transaction (archived session) (30 Oct 2024 00:00 - 31 Dec 2099 23:59)
ESEMEF252L01 - Entities Listing on HKEX Series – Session 3: Notifiable Transaction (archived session) (30 Oct 2024 00:00 - 31 Dec 2099 23:59)
ESEMEF253L01 - Entities Listing on HKEX Series – Session 4: Valuation: Before and After the M&A Transactions (archived session) (30 Oct 2024 00:00 - 31 Dec 2099 23:59)
ESEMEF254L01 - Entities Listing on HKEX Series – Session 5: Updating on New Listing Issues (archived session) (30 Oct 2024 00:00 - 31 Dec 2099 23:59)
ESEMEF255L01 - Entities Listing on HKEX Series – Session 6: Pillar 2 (archived session) (30 Oct 2024 00:00 - 31 Dec 2099 23:59)
ESEMEF258L01 - Entities Listing on HKEX Series – Session 7: The Focus on Corporate Governance Issues after Listing (archived session) (14 Jan 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF259L01 - Entities Listing on HKEX Series – Session 8: Enhanced Climate-related Disclosure Requirements by HKEX (archived session) (14 Jan 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF260L01 - Entities Listing on HKEX Series – Session 9: Key Considerations for Hong Kong Spin-off Listing (archived session) (14 Jan 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF271L01 - Entities Listing on HKEX Series: Privatization (archived session) (26 Mar 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF272L01 - Entities Listing on HKEX Series – Recent PRC Regulatory Developments on Overseas Listing (archived session) (26 Mar 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF273L01 - Entities Listing on HKEX Series – General Offer (archived session) (26 Mar 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF274L01 - Entities Listing on HKEX Series – Reverse Takeovers (archived session) (26 Mar 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF275L01 - Entities Listing on HKEX Series – Recent Update on the Listing Requirements (archived session) (26 Mar 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF276L01 - Entities Listing on HKEX Series – Corporate Fraud and Financial Accounting Scandals: A Forensic Perspective (archived session) (26 Mar 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF278L01 - Entities Listing on HKEX Series – Legal and Regulatory Updates 2023/24 (archived session) (15 Apr 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF279L01 - Entities Listing on HKEX Series – Insights on Market Research for Listing (archived session) (09 Apr 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF280L01 - Entities Listing on HKEX Series – Cross Border Data Transfer Rules in China (archived session) (09 Apr 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF281L01 - Entities Listing on HKEX Series – Share Buy-back and Treasury Shares (archived session) (15 Apr 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF282L01 - Entities Listing on HKEX Series – Accounting and Audit Matters for Listing Document on HKEX (archived session) (10 Apr 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF283L01 - Entities Listing on HKEX Series – Internal Control and Cybersecurity Readiness (archived session) (10 Apr 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF284L01 - Entities Listing on HKEX Series – Listed Companies Under Winding-Up Context and Overview of the Restructuring and Insolvency Landscape in Hong Kong (archived session) (10 Apr 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF285L01 - Entities Listing on HKEX Series – Tax Considerations for Going Public – Pitfalls or Opportunities? (archived session) (10 Apr 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF292L01 - Entities Listing on HKEX Series – Global Pillar 2 Update (archived session) (17 Jun 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF294L01 - Entities Listing on HKEX Series – IPO Update (archived session) (18 Jun 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF295L01 - Entities Listing on HKEX Series – Board Performance Evaluation (archived session) (07 Jul 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF296L01 - Entities Listing on HKEX Series – General Principles for Listing on HKEX (archived session) (07 Jul 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF298L01 - Entities Listing on HKEX Series – How to Manage Cross-Boundary Data Flow in the Greater Bay Area (archived session) (07 Jul 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF300L01 - Entities Listing on HKEX Series – Valuation: Before and After the M&A Transactions (archived session) (18 Aug 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF301L01 - Entities Listing on HKEX Series – Tax Field Audit (archived session) (18 Aug 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF302L01 - Entities Listing on HKEX Series – Introduction of the Protection of Critical Infrastructures (Computer Systems) Bill and Understanding ROI in Cybersecurity (archived session) (18 Aug 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF306L01 - Entities Listing on HKEX Series - Perspectives from Issuers: Navigating HKEX's New Climate-related Disclosure Requirements (archived session) (05 Sep 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF307L01 - Entities Listing on HKEX Series - General Business Model for Listing on HKEX (archived session) (05 Sep 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF324L01 - Entities Listing on HKEX Series - General Principle in Preparing the Annual Report (archived session) (12 Dec 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF326L01 - Entities Listing on HKEX Series - Latest Update on the Corporate Governance Code and the Related Listing Rules (archived session) (22 Dec 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF329L01 - Entities Listing on HKEX Series – Navigating A+H Listed Companies: Effective Board Performance via Company Secretaries and Corporate Governance (archived session) (02 Jan 2026 00:00 - 31 Dec 2099 23:59)
ESEMEF330L01 - Entities Listing on HKEX Series – ESG And Climate Reporting: Mastering HKEX's Enhanced Requirements (archived session) (14 Jan 2026 00:00 - 31 Dec 2099 23:59)
ESEMEF331L01 - Entities Listing on HKEX Series – IPO Readiness: Assets Valuation Issues Related to Taking a Company Public (archived session) (14 Jan 2026 00:00 - 31 Dec 2099 23:59)
ESEMEF333L01 - Entities Listing on HKEX Series – Navigating Through Financial Turbulence for Listed Companies and Hong Kong Restructuring and Insolvency Landscape (archived session) (16 Jan 2026 00:00 - 31 Dec 2099 23:59)
ESEMEF334L01 - Entities Listing on HKEX Series – Recent Update on Hong Kong Listing Requirements and Common Legal Issues on Hong Kong Listing (archived session) (17 Jan 2026 00:00 - 31 Dec 2099 23:59)
ESEMEF335L01 - Entities Listing on HKEX Series – Financial Information for a HKEX Listing (archived session) (17 Jan 2026 00:00 - 31 Dec 2099 23:59)
ESEMEF338L01 - Entities Listing on HKEX Series – Decoding Corporate Wrongdoing: Independent Investigations and Latest Enforcement Trends (archived session) (13 Feb 2026 00:00 - 31 Dec 2099 23:59)
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