Regulatory Update Series

Regulatory Enforcement in Relation to Listed Companies' Transactions

New Seminar


Regulators have continued their efforts in supervising the activities of listed companies and their directors with a clear intention to combat corporate fraud and misconduct, starting from the early stage of a transaction. The SFC has issued statements reminding listed company directors of their corporate acquisitions and disposals obligations, and the types of misconduct that can trigger SFC's scrutiny and leading to possible intervention.


By the end of the seminar, participants will be able to:
‧ Understand the expectation from the regulators in listed companies' transactions
‧ Be aware of when and why the regulators may intervene in a transaction and the potential consequences and sanctions


‧ Discuss the legal and regulatory requirements
‧ Recent enforcement trend and case studies
‧ Practical tips and experience sharing

Who should attend

Practitioners in the management of listed companies or involved in advising listed companies

Speaker/Course Instructor

Bryan NG
Bryan Ng is a partner in Baker McKenzie's Hong Kong office and a member of the Firm's Dispute Resolution Group. He has written articles and delivered training and seminars on topical issues including regulatory enforcement matters. Mr. Ng’s practice focuses on disputes related to financial services, regulatory investigations, white-collar crime, commercial disputes and insolvency-related matters.

He advises international financial institutions in investigations and disciplinary proceedings by the Securities and Futures Commission, the Hong Kong Monetary Authority and The Stock Exchange of Hong Kong Limited. He conducts and manages complex cross-border internal investigations and reviews. He is also experienced in advising on strategy in managing and reviewing electronic data.


Date & Time
Wednesday, 15 Jan 2020 (12:20PM - 1:20PM)
HKSI Institute Training Centre
New, Seminar
SFC:1.00, PWMA:1.00