Training: Connected Transactions and Related Listing Rules Compliance Consideration
Course Outlines 課程大綱:
The purpose of this course is to give attendees a better understanding of the requirements under Chapter 14A of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited by way of examples and discussions on practical considerations for monitoring compliance with the connected transaction rules in the context of corporate governance.
- Introduction of basics – what are connected transactions and exemptions
- Who are connected persons and common pitfalls in practice
- Review of recent disciplinary actions relating to Chapter 14A non-compliance
- Discussions on corporate governance practices to monitor connected transactions
CPD Hours: 1
Ms Vivian Ji, Partner, ReedSmith Richards Butler LLP
Vivian has been active as a Hong Kong qualified lawyer for more than 13 years. Her practice focuses on capital markets related matters, including initial public offerings and bond issuance transactions, mergers and acquisitions, and compliance work for Hong Kong listed companies. She has represented more than 40 PRC local government financial vehicles in completing their offshore U.S. dollar denominated bond issuance transactions. In addition, she has acted as Hong Kong legal adviser to both issuers and sponsors in many large initial public offerings.
Vivian is a senior lecturer at the Hong Kong Institute of Directors, a member of the Shanghai Youth Federation, a member of Chinese People’s Political Consultative Conference of the Shanghai Municipal Government – Song Jiang District, and the chair of the Greater Bay Area Young Talents Association. She has published more than 40 legal articles in Hong Kong Lawyers, Shanghai Lawyers and Hong Kong local newspapers.
Vivian has a strong reputation in the Hong Kong legal market. In 2021, she received the New World Outstanding Chinese Award and Associate Fellowship from Hong Kong’s Social Enterprise Research Academy. In 2022, she received Outstanding Businesswomen Award from Hong Kong Commercial Daily. She has significant experience in capital markets transactions and general corporate work.
Vivian is also admitted to practise in the PRC and is a Civil Celebrant of Marriages and a China-Appointed Attesting Officer in Hong Kong.
Mr Oscar Wong Counsel ReedSmith Richards Butler LLP Oscar joined the firm in 2009 and has extensive experience in a wide spectrum of corporate practice. He has advised clients from different jurisdictions on both equity and debt capital market fundraising exercises, as well as M&A transactions and pre-IPO investments in property, financial markets, F&B and other sectors. He also regularly advises listed clients (including renowned conglomerates and state-owned enterprises in the property, pharmaceutical, consumer electronics and logistics sectors) on transactions and regulatory compliance with the Listing Rules and the Takeovers Code. Oscar is fluent in English, Mandarin and Cantonese.