Annual Update on Listing Rules and Regulatory Legal Requirements
(code: P190821)

Category Others
Event date 21 August 2019 (Wed)
Time 19:00 - 21:00
CPD hours 2 hrs
Language Cantonese (Handout in English)
Hall, 1/F, Duke of Windsor Social Service Building, 15 Hennessy Road, Wanchai, HK
Tutor fee

Program Objective:

These seminar aims to provide professional accountants and corporate finance professionals with the latest updates regarding various legal issues and listing rules in Hong Kong.


  • Market Misconduct and relevant offences:
    • insider dealing
    • false trading
    • price rigging
    • disclosure of information about prohibited transactions
    • disclosure of false or misleading information inducing transactions
    • stock market manipulation
  • "Disclosure of Interest"
  • "Notification of Changes"
  • Deemed interests and exemptions
  • Court Case (and Disciplinary Actions) studies
  • How to handle SFC investigations

Benefits for Participants:

In this seminar, the participants will gain understanding about the latest updates regarding various legal issues and listing rules in Hong Kong. Upon completion, participants will have professional knowledge and insights in relation to legal requirements under different scenarios.


Mr. Albert So
LLB(Hons); PCLL(HKU); PGCert(Cambridge); ExeEd(Harvard); Oxford (Fintech); FHKIoD; FHKMAAC; FHKIArb; FRAS; Fellow of International Bar Association
Program Leader and Law Lecturer, Practising Solicitor, Adjunct Professor, Accredited Mediator, Accredited Family Mediator, Arbitrator, Chairman of Hong Kong Mediation and Arbitration Centre, Certified Anti-Money Laundering Specialist, Certified Financial Crime Specialist, Head of Legal of Certified Anti-Money Laundering Specialist Organization

Mr. Albert So is a practising corporate finance lawyer, university law lecturer and the Chairman of Hong Kong Mediation and Arbitration Centre. He has over 15 years of professional experience in Hong Kong, China and England legal industries. He had held different in-house legal positions in investment banks, global financial groups, in-charging of the global legal and compliance team and being responsible for handling various legal, compliance and litigation issues in the Asia Pacific region. During the time of the global financial crisis, Mr. So had also been one of the team members of regulatory authority, responsible for conducting investigations on suspicious fund movements, Know-Your-Client procedures, handling prosecutions and disciplinary-related professional proceedings.

Deadline of submission:

14 August 2019 (Wed)

Submission method:

Online Payment / Bank Transfer / Cheque

Important notes:

  • We will send the confirmation email 2 working days before the seminar to successful enrolees. If you do not receive any confirmation email, please contact us at 2155 8288 or 3575 6350.