Regulatory Update Series

Corporate Regulation – A Regulatory Balancing Act

Headlines such as “Worse than Hanergy? Goldin, you should be ashamed” and “The World’s Best IPO Has Gained 6,000%, But Analysts Say Stay Away” have done little to boost Hong Kong’s reputation as an international capital market.

The introduction of the statutory inside information disclosure regime and the heightened focus on corporate behaviour, leading to announcements like the joint statement on Growth Enterprise Market (GEM) placings, has increasingly put the Securities and Futures Commission (SFC) in the public eye. Mike Duignan, a Senior Director in the Corporate Finance Division will be talking about the efforts made by the SFC to improve corporate behaviour and running through some of the relevant enforcement outcomes.

Speaker:   Mr Mike Duignan
Speakers: Senior Director, Corporate Finance Division
Speakers: Securities and Futures Commission


Event Code : ESRUS17042001
Date : 20/04/2017 (Thursday)
Time : 12:00pm - 12:20pm   Registration & Light Sandwich Lunch
12:20pm - 1:20pm     Seminar / Q & A
Venue : Hong Kong Securities and Investment Institute
Room 510, 5/F, Wing On Centre, 111 Connaught Road Central, Hong Kong
Language : English
Hours :

1 CPT hour recognised by SFC
1 OPT hour recognised by PWMA
(Participants MUST attend the whole seminar including the question & answer session. Otherwise, NO/ZERO CPT/OPT hour will be given.)

Fees :

HK$210 for Members*
HK$380 for Non-members

*HKSI Institute Individual Members and staff of Corporate Members


Seats are limited, so register NOW ! 
For further enquiries, please call our Hotline on 3120 6100.