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Executive Certificate in HK Listing Regulations

The “Executive Certificate in HK Listing Regulations” aims to provide an overview of the essential knowledge on the Hong Kong Exchange Listing Rules and the Securities and Future Ordinance that are most relevant to listed companies and IR practitioners. Upon completion of all courses below, attendees will gain a broad understanding of Hong Kong listing regulations applicable to their daily work.

The “Executive Certificate in HK Listing Regulations” consists of seven core courses and one session of experience sharing and role-play simulation as follows:

  1. The course will cover the most frequently encountered listing compliance requirements including:

    • Timing of announcing profit warning & positive profit alert
    • The boundaries of communicating revenue and profit targets or guidance
    • Responding to unusual price fluctuation and trading volume
    • Responding to media speculation and market rumors
    • Dealing with hostile short-seller reports
    • Disclosing inside information on confidential company matters, internal developments and change in external environment

     

    *Standard Fee: HKD$800 ; Early-bird Fee: HKD$700 and Alumni Fee: HKD$60
    *Early-bird discount will close on 11 Jun 2021.
    *Corporate Discount - 10% discount is available for 3 attendees or more from the same company on any classes (Only available for standard and early-bird price)
    *Zoom & Physical available. For physical session, please attend the class at RM 2203, 22/F, Tower 1, Admiralty Centre, 18 Harcourt Road, Admiralty, Hong Kong
    You will be contacted by email if there are any discrepancies found after we have checked and found you are not alumni for the training course before.
    Date Time Language Flyer Enroll
    17 April 2021 (Saturday) 9:30 am - 12:30 pm Putonghua [Read More] [Closed]
    17 April 2021 (Saturday) 2:00 pm - 5:00 pm Cantonese [Read More] [Closed]
    24 April 2021 (Saturday) 2:00 pm - 5:00 pm English [Read More] [Closed]
    19 June 2021 (Saturday)
    (Re-run class)
    9:30 am - 12:30 pm Cantonese [Read More] [Closed]
  2. The course will cover the most frequently encountered listing compliance requirements of timely disclosure (other than those covered in part 1 of this course) including:

    • Disclosure of inside information under the SFO
    • Disclosure obligation to avoid a false market
    • Matters related to the issuer’s business and securities which require timely disclosure
    • General disclosure requirements on notifiable transactions & connected transactions
    • Trading halt, suspension and resumption of trading
    • Disclosure of interest by directors and substantial shareholders under the SFO

     

    *Standard Fee: HKD$800 ; Early-bird Fee: HKD$700 and Alumni Fee: HKD$600
    *Early-bird discount will close on 9 July 2021.
    *Corporate Discount - 10% discount is available for 3 attendees or more from the same company on any classes (Only available for standard and early-bird price)
    *Zoom & Physical class available. For physical session, please attend the class at RM 2203, 22/F, Tower 1, Admiralty Centre, 18 Harcourt Road, Admiralty, Hong Kong
    *You will be contacted by email if there are any discrepancies found after we have checked and found you are not alumni for the training course before.
    Date Time Language Flyer Enroll
    15 May 2021 (Saturday) 9:30 am - 12:30 pm Putonghua [Read More] [Closed]
    15 May 2021 (Saturday) 2:00 pm - 5:00 pm Cantonese [Read More] [Closed]
    22 May 2021 (Saturday) 2:00 pm - 5:00 pm English [Read More] [Closed]
    24 July 2021 (Saturday)
    (Re-run class)
    2:00 pm - 5:00 pm English [Coming Soon] [Coming Soon]
  3. The course provides a general overview of the Listing Rules and other relevant regulations concerning the listed companies, its directors and officers and IR practitioners throughout IPO process with focus on the following:

    • Overview of the IPO process
    • Methods of listing
    • Qualification of Listing
    • Listing application procedures and the content of the prospectus
    • The legal implication of the listing agreement, the prospectus and IPO marketing materials
    • Placing guidelines and regulations on underwriting, share allocations, green shoes, and share price stabilisation

     

    *Standard Fee: HKD$800 ; Early-bird Fee: HKD$700 and Alumni Fee: HKD$600
    *Early-bird discount will close on 31 May 2021.
    *Corporate Discount - 10% discount is available for 3 attendees or more from the same company on any classes (Only available for standard and early-bird price)
    *Zoom & Physical class available. For physical session, please attend the class at RM 2203, 22/F, Tower 1, Admiralty Centre, 18 Harcourt Road, Admiralty, Hong Kong
    *You will be contacted by email if there are any discrepancies found after we have checked and found you are not alumni for the training course before.
    Date Time Language Flyer Enroll
    12 June 2021 (Saturday) 9:30 am - 12:30 pm Putonghua [Read More] [Closed]
    12 June 2021 (Saturday) 2:00 pm - 5:00 pm Cantonese [Read More] [Closed]
    28 August 2021 (Saturday)
    (Re-run class)
    2:00 pm - 5:00 pm English [Read More] [Apply Now]
  4. The course serves to provide guidance on the financial reporting obligations as well as other continuous obligations which requires listed companies and its directors and officers to fulfil after the IPO. The key subject matters are:

    • Preliminary announcements of results and publishing financial reports
    • Minimum requirement of disclosing financial information and recommended additional disclosure
    • Implications on qualified opinion, adverse opinion and disclaimer of opinion from the auditors
    • The audit committee’s duties and responsibility under the Listing Rules
    • Other continuous obligations including ESG reporting

     

    *HKIRA reserves the right to change the date, time and venue for the courses.
    *Early-bird discount will close on 30 Jun 2021.
    *Corporate Discount - 10% discount is available for 3 attendees or more from the same company on any classes. (only available for standard and early bird price)
    **Zoom & Physical class available. For physical session, please attend the class at Rooms 815-818, 8/F., China Insurance Group Building, 141 Des Voeux Road Central, Hong Kong.
    *You will be contacted by email if there are any discrepancies found after we have checked and found you are not alumni for the training course before.
    *CPD acknowledgement will be issued for each individual course upon request.
    *Course registration is only completed after receiving full payment of the course fee. For incomplete registration, HKIRA will not issue CPD acknowledgement to the attendee.
    Date Time Language Flyer Enroll
    10 July 2021 (Saturday) 9:30 am - 12:30 pm Putonghua [Read More] [Closed]
    10 July 2021 (Saturday) 2:00 pm - 5:00 pm Cantonese [Read More] [Closed]
    25 September 2021 (Saturday)
    (Re-run class)
    2:00 pm - 5:00 pm English [Coming Soon] [Coming Soon]
  5. This course assists the attendees to walk through the complexity of the Listing Rules and other relevant regulations governing various post-IPO fund raising and other capital transactions as follows:

    • Issuance of securities, options, warrants and rights, and their restrictions
    • Issuance of debt securities
    • Capitalization issue, capital reduction, share consolidation, share sub-division and change in block lot size
    • Debt covenants and guarantee
    • Declaring and paying cash dividend, dividend in specie, scrip dividend and bonus issue
    • Codes on Takeovers and Mergers and Share Buy-backs
    Date Time Language Flyer Enroll
    14 August 2021 (Saturday) 9:30 am - 12:30 pm Putonghua [Read More] [Apply Now]
    14 August 2021 (Saturday) 2:00 pm - 5:00 pm Cantonese [Read More] [Apply Now]
    30 October 2021 (Saturday)
    (Re-run class)
    2:00 pm - 5:00 pm English [Coming Soon] [Coming Soon]
  6. This course explores the Listing Rules and other relevant regulations governing the dealings of the listed company’ shares, stock options, contracts and other financial and non-financial transactions by its employees, directors, shareholders and other connected parties as follows:

    • Connected transactions - disclosure and approval requirements
    • The Model Codes for Securities Transactions by the Directors and Employees
    • Restrictions on director’s service contracts and other measures to avoid conflict of interest on directors, officers and shareholders
    • Share option scheme and share award scheme
    • Pledge of shares, and covenant related to specific performance of controlling shareholders
    • A closer look at the disclosure of interest by directors and substantial shareholders
    Date Time Language Flyer Enroll
    4 September 2021 (Saturday) 9:30 am - 12:30 pm Putonghua [Coming Soon] [Coming Soon]
    4 September 2021 (Saturday) 2:00 pm - 5:00 pm Cantonese [Coming Soon] [Coming Soon]
    20 November 2021 (Saturday)
    (Re-run class)
    2:00 pm - 5:00 pm English [Coming Soon] [Coming Soon]
  7. This course focuses on the listed company directors and officers concerning their qualifications, appointments, changes, as well their duties and responsibilities under the Company Ordinance and the Listing Rules and the compliance of Corporate Governance Code covering:

    • Directors’ qualifications, nominations, appointments and their changes
    • The power, duties, responsibilities, and liabilities of director and officers of a listed company
    • The duties and responsibilities of audit committee, renumeration committee and nomination committee, authorized representatives and company secretary
    • Corporate governance measures under the Articles of Association
    • The Corporate Governance Code and recommended best practices
    • The shareholder meetings and communication policy
    Date Time Language Flyer Enroll
    23 October 2021 (Saturday) 9:30 am - 12:30 pm Putonghua [Coming Soon] [Coming Soon]
    23 October 2021 (Saturday) 2:00 pm - 5:00 pm Cantonese [Coming Soon] [Coming Soon]
    4 December 2021 (Saturday)
    (Re-run class)
    2:00 pm - 5:00 pm English [Coming Soon] [Coming Soon]
  8. This is a special session for all attendees to openly ask questions and share experiences related to complying listing regulations. The course instructors (and a guest speaker if any) will facilitate the attendees to participate in series of role-play simulations to enable each attendee to obtain a broader understanding of various listing regulations that may affect their current and future job responsibility.

    Date Time Language Flyer Enroll
    13 November 2021 (Saturday) 9:30 am - 12:30 pm Putonghua [Coming Soon] [Coming Soon]
    13 November 2021 (Saturday) 2:00 pm - 5:00 pm Cantonese [Coming Soon] [Coming Soon]
    11 December 2021 (Saturday)
    (Re-run class)
    2:00 pm - 5:00 pm English [Coming Soon] [Coming Soon]

 

Please click each of the above to see the course content, timetable, course flyer, and enrol for the course.

You may choose to attend classes which are taught in English, Cantonese, or Putonghua.

Course materials will be in English. Chinese course materials will be made upon request for corporate or board trainings.

CPD acknowledgement will be issued for each individual course upon request.

If you have any questions or need further information, please kindly contact us at 2117 1846 or email us at info@hkira.com