LISTING COMPLIANCE

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LISTING COMPLIANCE

LISTING COMPLIANCE

Breach of Listing Rules

Sound Corporate Governance is of paramount importance for effective Investor Relations & Listing Rules compliance is an indispensable component of sound Corporate Governance practices

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

Those major breaches involve the following key compliance areas:

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 the following professional supports to listed companies and their directors/management.

- Directors’ training on professional knowledge and market updates (-->> ListcoPRO Directors' Training )

- Advisory on risk management and internal control to strengthen design, implementation, testing and monitoring of measures for listing rules compliance (-->> Advisory on Internal Control of Listing Rules Compliance )

Please contact us for more details.

 

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