INTERNAL CONTROL ON LISTING RULES COMPLIANCE

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INTERNAL CONTROL ON LISTING RULES COMPLIANCE

INTERNAL CONTROL ON LISTING RULES COMPLIANCE

Breach of Listing Rules

In recent years, the Securities and Futures Commission (“SFC”) and the Hong Kong Stock Exchange (“HKEx”) have stated on different occasions that they will strengthen the supervision, enforcement and censures of listed companies for breach of listing rules, and have disclosed hundreds of non-compliance cases of listed companies in the past years.

Link -->>  HKEx - Listing Enforcement Announcement

The major breach involve:

1. Inside Information

- Misleading information

- delayed profit warning

2. Non-disclosure or omission

- Connected Transactions

- Notifiable Transactions

3. Weaknesses of Internal Control in preparing Financial Reports & Listing Rules Compliance

4. Directors' Duties

Our Professional Services to Prevent / Detect the Breach

With our ample experience in listed company's internal control and listing rules requirements, we offer tailor-made solution for our clients to deal with their immediate need.

Listing Rules Internal Control Compliance

- Risk Assessment 

- Evaluation & set up of adequate preventive and detective controls

- Test of effectiveness of key control

- Training to Board & senior management on Listing Rules compliance

Please contact us for more details.

 

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