Regulatory Update Series: Corporate Regulation – A Regulatory Balancing Act

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/Course Instructor

Mr Michael Duignan is a Senior Director in Corporate Finance Division of the Securities and Futures Commission (SFC) since 2014, responsible for IPO policy and listing regime supervision. He worked at Special Compliance Office in the UK Inland Revenue before going to HM Treasury and advising Ministers on policy relating to exchanges and securities. He joined UK FSA in 2000 as Primary Markets Policy Manager where he had responsibility for Listing Rules policy and negotiated the Prospectus Directive in European Council on behalf of the UK, whilst working on various other European Directives. He chaired one of the CESR (now known as the European Securities and Markets Authority) groups advising the European Commission. He joined the Irish Stock Exchange in September 2008 as Head of Market Supervision, which was an interesting time in Irish markets. In 2012 he joined the Malta FSA and was responsible for supervision of firms, funds and trustees, and all securities and markets issues.


Date & Time
Thursday, 20 Apr 2017 (12:20PM - 1:20PM)
HKSI Institute Training Centre
SFC:1.0, PWMA:1.0