Interconnectivity of the capital markets in the Greater Bay Area (GBA) has been boosted by such initiatives as the Shenzhen-Hong Kong Stock Connect (and the recent inclusion of ETFs in the Connect). A key infrastructure supporting the enhanced cross-border capital market access in the GBA is the public/regulatory bodies’ enforcement programmes against cross-border securities violations. This seminar offers an analysis of the current legal, regulatory and institutional framework for cross-border securities enforcement of securities laws in the GBA. Also discussed is the role of that framework in curbing breaches of securities laws and protecting the integrity of the GBA capital markets.

About the Speaker:
Chao XI is Professor and Outstanding Fellow of the Faculty of Law at The Chinese University of Hong Kong, where he concurrently serves as Associate Dean (Research) and Head of Graduate Division of Law.

Professor Xi specialises in comparative corporate law, securities regulation, and financial regulation, with a particular focus on the case of China. He has published extensively in leading peer-reviewed international journals. His research has received significant funding support from funding bodies such as the Hong Kong SAR Government Research Grants Council, the PRC Ministry of Education, the Government of India, and the Sumitomo Foundation. He has been appointed by the Hong Kong SAR Government’s Policy Innovation and Co-ordination Office (PICO) to serve on the Assessment Panel of its Public Policy Research (PPR) and Strategic Public Policy Research (SPPR) Funding Schemes.

Professor serves on the Editorial Board of a number of international peer-reviewed journals. Professor Xi is also a Member of the Chartered Institute of Arbitrators (CIArb), UK, and is on the panels of arbitrators in several arbitral bodies. He has regularly been engaged by law firms, multinationals, and government departments and agencies as an expert.

The Law Society of Hong Kong has awarded this seminar 1 Continuing Professional Development (CPD) point.