The Listing Committee acts both as an independent administrative decision maker and an advisory body for the Exchange. It has four principal functions:
- to oversee the Department (to the extent practicable given the Committee’s mode of operation);
- to provide policy advice to the Department on listing matters and to approve amendments to the Main Board Rules and GEM Rules;
- to take decisions of material significance for listing applicants, listed issuers and the individuals concerned. These include approvals of listing applications and cancellations of listing and disciplinary matters; and
- to act as a review body for decisions made by the Department.
Role and Mode of Operation of the Committee
CHAIRMAN
BRIEN Peter Wilhelm Hubert
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Age
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55
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Date of appointment
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10 July 2015
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Other major offices
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- Slaughter and May – Partner (1995~)
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Qualifications
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- Solicitor (Hong Kong/ England and Wales)
- Bachelor of Laws (University of Birmingham, UK)
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DEPUTY CHAIRMEN
YIEN Yu Yu, Catherine
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Age
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49
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Date of appointment
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10 July 2015
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Other major offices
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- Rothschild & Co Hong Kong Limited – Managing Director (2013~)
- CIMC Enric Holdings Limited (listed on The Stock Exchange of Hong Kong Limited) – Independent Non-executive Director (2018~)
- ENN Energy Holdings Limited (listed on The Stock Exchange of Hong Kong Limited) – Independent Non-executive Director (2018~)
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Past offices
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- Rothschild (Hong Kong) Limited - (1995-2013: Assistant Director (2000-2006); Director (2006-2013); and Chief Operating Officer (2010-2013))
- ENN Energy Holdings Limited (listed on The Stock Exchange of Hong Kong Limited) – Independent Non-executive Director (2004-2016)
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Public service
|
- SFC Advisory Committee – Member (2019~)
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Qualifications
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- CFA Charterholder
- Member (Hong Kong Securities and Investment Institute)
- Joint Honours degree in Mathematics with Management (BSc Hons) (Imperial College of Science, Technology and Medicine of University of London, UK)
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Age
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50
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Date of appointment
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8 July 2016
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Other major offices
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- Ernst & Young - Partner (2000)
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Public service
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- Hong Kong Institute of Certified Public Accountants - Member of Regulatory Accountability Board (2013~), Chairman of Audit Committee (2019~), Member of Disciplinary Panel (Panel B) (2016~) and Member of Audit Profession Reform Advisory Panel (2017~)
- Financial Reporting Council – Honorary Advisor (2018~), Member of Finance & Corporate Affairs Committee (2019~)
- The 30% Club HK - Founding Member (2013~)
- The Women’s Foundation - Honorary Auditor (2013~)
- Standing Committee on Company Law Reform - Member (2015~)
- Resolution Compensation Tribunal of Financial Services and the Treasury Bureau - Panel Member (2018~)
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Qualifications
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- Fellow (Institute of Chartered Accountants in England and Wales)
- Fellow (Hong Kong Institute of Certified Public Accountants)
- Member (Hong Kong Securities and Investment Institute)
- BSc Management Science (First class Honours) (Warwick Business School, UK)
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OTHER MEMBERS (IN ALPHABETICAL ORDER)
BHATIA Renu
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Age
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60
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Date of appointment
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5 July 2019
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Other major offices
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- Supercharger – Founding Partner (2015~)
- Sonikure Technologies Ltd – Chairman and Co-Founder (2015~)
- Asia Fintech Angels – Co-founder (2015~)
- Garsington Technologies – Advisor to the Board (2016~)
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Past offices
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- Prospect Ventures – President (2013 – 2017)
- Tancho Investments Ltd – Director (2005 - 2015)
- HSBC Asset Management – Director Head of Tactical Asset Allocation (1992 – 1999)
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Public service
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- Board of Review (Inland Revenue Ordinance) – Member (2020~)
- Cyberport Entrepreneurship Centre Advisory Group – Member (2018~)
- Hong Kong Baptist University Business School – Member of Advisory Committee (2018~)
- Hong Kong General Chamber of Commerce – Member of Fintech Steering Committee (2016~)
- Business Professional Federation Healthcare Committee – Member (2016~)
- TiE Hong Kong – Board member (2015~)
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Qualifications
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- Member (Hong Kong Medical Association)
- Member (British Medical Association)
- Member (Fintech Association of Hong Kong)
- Master of Business Administration (Yale University)
- Doctor of Medicine (University of London)
- Post Grad Diploma in Therapeutics and Medicine (The University of Hong Kong)
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Age
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54
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Date of appointment
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10 July 2015
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Other major offices
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- PricewaterhouseCoopers – Partner and Co-head of Capital Markets Services (2002~)
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| Qualifications |
- Bachelor’s degree in Commerce (University of New South Wales, Australia)
- Certified Public Accountant (Hong Kong)
- Member (CPA Australia)
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Age
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60
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Date of appointment
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10 July 2020
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Other major offices
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- Hong Kong Cyberport Management Company Limited – Chief Investment Officer (2018~)
- Cambridge Quantum Computing, Japan – Independent Director (2019~)
- CNQC International Holdings (listed on The Stock Exchange of Hong Kong Limited) – Independent Non-Executive Director (2016~)
- Repton International School Limited – Director for Asia (2014~)
- Softech Investment Management Company Limited – Chief Investment Officer and Responsible Officer (1999~)
- Techpacific Capital Limited – Founder and Director (1999~)
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Past offices
|
- Ministry of Finance, Kingdom of Thailand – Advisor (2016-2018)
- JAIC-CROSBY Investment Management Company Limited – Chief Investment Officer (2005-2018)
- Crosby Asset Management (Hong Kong) Limited – Chairman and CIO (2002-2016)
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Public service
|
- Task Force on Banking and Finance, Sustainable Business Network, United Nations ESCAP – Member (2019~)
- HK Startup Council, STARS Programme, Federation of HK Industries – Member of Executive Committee (2019 ~)
- Belt & Road Committee, Digital Silk Route Working Group, HKTDC – Member (2018~)
- Services Promotion Programme Committee, HKTDC – Member (2015~)
- Asia VC&PE Council – Founder and Secretary General (2011~)
- HK Venture Capital & Private Equity Association – President and Executive Director (2011~)
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Qualifications
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- Bachelor of Arts, Hons in Economics (London Metropolitan University)
- Master of Business Administration (CASS, City, University of London)
- Postgraduate Diploma (Securities Institute of Australia now FINSIA)
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Age
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40
|
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Date of appointment
|
8 July 2016
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Other major offices
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- Chartwell Capital Limited – Founder and Chief Investment Officer (2007~)
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Public service
|
- HKTDC Belt and Road & Greater Bay Area Committee’s Smart City and Digital Connectivity Task Force – Member (2020~)
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Qualifications
|
- Bachelor of Science degrees in finance and accounting (New York University, US)
- Fellow (The Hong Kong Institute of Directors)
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Age
|
48
|
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Date of appointment
|
8 July 2016
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Other major offices
|
- Lee Kee Holdings Limited (listed on The Stock Exchange of Hong Kong Limited) – Vice Chairman (2012~), Executive Director and Chief Executive Officer (2006~)
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Public service
|
- Lead and Zinc Committee of the London Metal Exchange – Member (2014~)
- LME Clear Limited - Member of Board Risk Committee (2014~)
- Energy Advisory Committee of the HKSAR Government- Member (2014~)
- Trust Fund for Severe Acute Respiratory Syndrome Committee – Member (2015~)
- Trade and Industrial Organisation Support Fund of Hong Kong Trade & Industry Department - Member of Vetting Committee (2016~)
- The Better Hong Kong Foundation - Council Member (2018~)
- The HKMA Institute of Advanced Management Development - Member of Advisory Board (2018~)
- Hong Kong Housing Authority – Member (2019~ )
- Hong Kong Productivity Council – Member (2019~ )
- HKTDC Belt and Road & Greater Bay Area Committee Industrial Parks : SMEs’ Manufacturing Partnership and Investment – Member (2019~)
- Hong Kong Young Industrialists Council – President Honoris Causa (2019~ )
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Qualifications
|
- Master of Social Science degree in Global Political Economy (The Chinese University of Hong Kong)
- Industrial Fellow (WMG, University of Warwick, UK)
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Age
|
46
|
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Date of appointment
|
10 July 2015
|
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Other major offices
|
- Ping An of China Capital (Hong Kong) Company Limited – Head of Investment Banking (2021~)
- China PA Securities (Hong Kong) Company Limited – Head of Global Capital Markets (2021~)
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Past offices
|
- China Galaxy International Securities (Hong Kong) Limited – Managing Director of Investment Banking (2018-2021)
- BOCI Asia Limited – Managing Director (2010-2018)
- KPMG China and KPMG Corporate Finance Limited – Partner and Executive Director respectively (2006- 2010)
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Public service
|
- Hong Kong Science and Technology Park – Chairperson of Hong Kong BioMedical Technology Development Advisory Panel (2020~)
- Hong Kong Institute of Certified Public Accountants – Chairman of Corporate Finance Advisory Panel (2017-2019)
- The Hong Kong Institute of Directors – Corporate Governance Policies Committee Member (2014~)
- Monte Jade Science and Technology Association of Hong Kong – Board Member (2017~)
- Smart City Consortium – Technical Adviser to the Board (2017~)
- Committee of the Chinese People's Political Consultative Conference in Futian district, Shenzhen – Member (2016~)
- Hong Kong-ASEAN Economic Cooperation Foundation – Member (2017~)
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Qualifications
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- First Class Honors Degree in Accountancy (City University of Hong Kong)
- Certified Public Accountant (Hong Kong)
- CFA Charterholder
- Member (The Hong Kong Institute of Directors)
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Age
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56
|
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Date of appointment
|
10 July 2020
|
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Other major offices
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- The Hongkong and Shanghai Banking Corporation Limited – Managing Director, Advisory, Global Banking Asia Pacific (2001~)
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Past offices
|
- The Hongkong and Shanghai Banking Corporation Limited –Corporate Finance Director (1998 - 2001), Associate Director (1996 - 1998)
- Norton Rose – Solicitor, Hong Kong (1994 - 1996) and London (1989 - 1994)
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Public service
|
- Hong Kong Securities and Investment Institute – Fellow (2017~)
- The British Chamber of Commerce in Hong Kong, Financial Markets Committee – Vice Chair (2020~) and Member (2012~)
- The Securities and Futures Commission – Member of the Takeovers and Mergers Panel and Takeovers Appeal Committee (2021~)
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Qualifications
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- Bachelor of Laws (University of Southampton, UK)
- Solicitor (Hong Kong and England and Wales (non-practising))
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Age
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50
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Date of appointment
|
5 July 2019
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Other major offices
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- Asia Innovations Group – Independent Director (2015~)
- GetYourGuide – Independent Director (2013~)
- Queen’s Road Capital – Founder and CEO (2011~)
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Past offices
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- Qunar – Co-founder and CEO (2005 – 2011)
- Netease – Senior Vice President (2001 – 2003)
- Shawei – Co-founder and CEO (1999 – 2001)
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Public service
|
- The Asia Society – Member of Global Board of Trustees (2019~)
- The Queen’s Road Foundation – Founder (2015~)
- UCLA – Member of Board of Advisors for School of Earth, Planetary and Space Sciences (2018~) and Centre for Management of Enterprise in Media, Entertainment and Sports (2017~)
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Qualifications
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- MBA (University of California, Los Angeles)
- BA (California State University, Fullerton)
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Age
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48
|
|
Date of appointment
|
22 June 2018
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Other major offices
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- Herbert Smith Freehills – Partner (2008~)
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Past offices
|
- Herbert Smith Freehills – Trainee (1998 – 2000) and Associate (2000 - 2008)
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Qualifications
|
- Solicitor (Hong Kong /England and Wales)
- Intensive Chinese Language Course (Zhejiang University, China)
- Legal Practice Course (College of Law, UK)
- Bachelor of Laws (Honours) (University of Nottingham, UK)
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|
Age
|
60
|
|
Date of appointment
|
10 July 2020
|
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Other major offices
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- Morgan Stanley Asia Ltd. – Managing Director (2009~)
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Past offices
|
- Merrill Lynch Far East Ltd. – Managing Director (2008 – 2009)
- Morgan Stanley Asia Ltd. – Managing Director (1997 – 2008)
- S.G. Warburg / SBC Warburg – Executive Director (1986 – 1997)
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Qualifications
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- Chartered Accountant (Institute of Chartered Accountants in England and Wales)
- Bachelor of Arts, Mathematics (University of Oxford)
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|
Age
|
49
|
|
Date of appointment
|
7 July 2017
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Other major offices
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- J.P. Morgan – Managing Director, Head of Global Investment Banking, Hong Kong (2004~)
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Past offices
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- The Securities and Futures Commission – Senior Manager, Corporate Finance Department (2003-2004)
- Hong Kong Stock Exchanges & Clearing Ltd. – Manager, Listing Division (2002-2003)
- J.P. Morgan – Associate (1995-2002)
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Public service
|
- Policy Research Committee of the Financial Services Development Council – Member (2019~)
- The University of Hong Kong – Member of the Court (2019~)
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Qualifications
|
- Bachelor of Arts, Business Economics (UCLA, USA)
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|
Age
|
55
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|
Date of appointment
|
10 July 2020
|
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Other major offices
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- KPMG China – Head of Professional Practice (2019~) and Head of Capital Markets (2013~)
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Past offices
|
- KPMG China – Partner, Capital Markets (2009-2013)
- KPMG U.S. – Partner, Capital Markets and Audit Practice (2002-2009)
- Arthur Andersen U.S. – Senior Manager, Audit Practice (1993-2002)
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Public service
|
- Hong Kong Institute of Certified Public Accountants – Chairman of the Auditing and Assurance Standards Committee (2018~)
- Hong Kong Institute of Chartered Secretaries – Member of the Technical Consultation Panel (2018~)
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Qualifications
|
- Practising Member (Hong Kong Institute of Certified Public Accountants)
- Certified Public Accountant (Massachusetts, U.S.)
- Chartered Global Management Accountant (American Institute of Certified Public Accountants)
- Master of Business Administration (University of Southern Maine)
- Bachelor of Social Science (Chinese University of Hong Kong)
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Age
|
47
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Date of appointment
|
5 July 2019
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Other major offices
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- Sun Hung Kai & Co. Limited – Group Treasurer and Head of Corporate Development (2017~)
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Past offices
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- Egon Zehnder International – Consultant (2015 – 2017)
- Deutsche Bank AG – Managing Director, Institutional Client Group (2014) and Managing Director, Financial Institutions Group (2008 – 2013)
- Lehman Brothers Asia Limited – Vice President, Financial Institutions Group (2005 – 2008)
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Qualifications
|
- Bachelor of Business Administration (University of Michigan)
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Age
|
37
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|
Date of appointment
|
10 July 2020
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Other major offices
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- Valliance Asset Management Limited – Founder and Chief Investment Officer (2019~)
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| Public service |
- Hong Kong Football Association – Member of International Affairs Committee (2020~)
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Past offices
|
- CQS Asset Management – Equity Portfolio Manager (2015-2019)
- Och Ziff Capital Management – Portfolio Manager (2008-2014)
- Morgan Stanley – Investment Banking Analyst (2005-2007)
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Qualifications
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- Bachelor of Commerce (Finance) / Bachelor of Science (Mathematics) (University of New South Wales, Australia)
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|
Age
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49
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|
Date of appointment
|
5 July 2019
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Other major offices
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- Ropes & Gray – Partner (2013~)
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Past offices
|
- Fried, Frank, Harris, Shriver & Jacobson – Managing Partner, Greater China and Head of Asia Capital Markets (2011 – 2013); and Partner (2006 – 2011)
- Simmons & Simmons – Partner (2006); Of Counsel (2004 – 2006); and Solicitor (1999 – 2004)
- Allen & Overy – Solicitor (1996 – 1998)
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Qualifications
|
- Solicitor (Hong Kong and England and Wales)
- Legal Practice Course (College of Law, UK)
- Bachelor of Laws (Honours) (Oxford Brookes University, UK)
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|
Age
|
51
|
|
Date of appointment
|
22 June 2018
|
|
Other major offices
|
- Hutchison China MediTech Limited (listed on Nasdaq Global Select Market & AIM Market of the London Stock Exchange) – Group General Counsel (Hong Kong) (2015~)
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Past offices
|
- Hutchison Whampoa (Europe) Limited – Group Senior Legal Counsel (London) (2014)
- Hutchison Whampoa Limited (previously a listed company in Hong Kong and after a restructuring, a subsidiary of CK Hutchison Holdings Limited which is listed on The Stock Exchange of Hong Kong Limited) – Group Senior Legal Counsel (Hong Kong) (2006-2013)
- Hutchison 3G UK Limited – Legal Counsel (London) (2001-2006)
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Qualifications
|
- Solicitor (England & Wales)
- LL.B. (Hons.) (Middlesex University, UK)
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|
Age
|
49
|
|
Date of appointment
|
22 June 2018
|
|
Other major offices
|
- Tencent Holdings Limited (listed on The Stock Exchange of Hong Kong Limited) – Deputy General Counsel (2010~)
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Past offices
|
- Slaughter and May – Associate (2008 – 2010)
- Mallesons Steven Jaques - Solicitor (2005 – 2008)
- BOCI Hainan Investment Company Ltd. – Investment Manager (1994 – 2001)
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|
Qualifications
|
- Solicitor (Victoria, Australia)
- Juris Doctor (Melbourne University, Australia)
- Graduate Diploma in Legal Practice (Australian National University, Australia)
- Master of Business Administration (La Trobe University, Australia)
- Bachelor of Arts (East China Normal University, China)
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|
Age
|
56
|
|
Date of appointment
|
5 July 2019
|
|
Other major offices
|
- PineBridge Investments Asia Ltd – Managing Director, Head of Asia ex-Japan (2008~)
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|
Past offices
|
- HSZ Group – Partner (2006 – 2008)
- Fortune REIT (listed on The Stock Exchange of Hong Kong Limited and Singapore Stock Exchange) – Executive Director (2005 – 2006)
- Standard Life Investments (Asia) Ltd – Director, Head of Pacific Basin Investment (2002 – 2005)
- Schroder Investment Management (HK) Ltd – Director, Head of Asia ex-Japan (1992-2002)
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Qualifications
|
- CFA Charterholder
- Master of Business Administration (Manchester Business School)
- Bachelor of Accountancy (National University of Singapore)
|
|
Age
|
53
|
|
Date of appointment
|
8 July 2016
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|
Other major offices
|
- Robeco Hong Kong Ltd - Managing Director and Chief Investment Officer (2008~)
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Past offices
|
- Robeco Group - Executive Director and Fund Manager (1990 – 2008)
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Qualifications
|
- Master in Business Economics (Erasmus University Rotterdam, Netherlands)
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|
Age
|
46
|
|
Date of appointment
|
7 July 2017
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|
Other major offices
|
- DCP Advisors, Limited – CEO (2017~)
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Past offices
|
- KKR Asia Limited – Partner (2006-2016)
- Morgan Stanley Private Equity Asia - Executive Director (1998-2006)
- Lazard Freres & Co – Analyst (1996-1997)
- Coopers & Lybrand – Auditor (1995-1996)
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Qualifications
|
- Certified Public Accountant (US)
- Certified Management Accountant (US)
- Bachelor of Science with honours in Accounting (University of Illinois, Urbana-Champaign, US)
|
|
Age
|
63
|
|
Date of appointment
|
22 June 2018
|
|
Other major offices
|
- The Boston Consulting Group – Senior Partner, Managing Director and Chairman of Greater China (2009~)
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Past offices
|
- The Boston Consulting Group (1982 – 2009: Managing Partner, China (1996 -2003); and Managing Partner, Asia Pacific (2003 – 2009))
- Milliken and Company – Research Engineer (1978 – 1980)
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Qualifications
|
- BSc Chemical Engineering (First Class Honors) (Imperial College London, UK)
- MS Chemical Engineering (Massachusetts Institute of Technology, US)
- MBA (Harvard Business School, US)
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|
Age
|
41
|
|
Date of appointment
|
22 June 2018
|
|
Other major offices
|
- Boyu Capital Advisory Company Limited – Partner (2011~)
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|
Past offices
|
- Goldman Sachs (Asia) L.L.C. – Executive Director of the Principal Investment Area (2005-2011)
- McKinsey & Company – Business Analyst (2003-2005)
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Public service
|
- The Securities and Futures Commission – Member of Public Shareholders Group (2017~) and Member of the Takeovers and Mergers Panel and Takeovers Appeal Committee (2018~)
|
|
Qualifications
|
- Bachelor of Business Administration (First Class Honours) (Chinese University of Hong Kong)
|
|
Age
|
49
|
|
Date of appointment
|
5 July 2019
|
|
Other major offices
|
- Christie's Hong Kong Limited - Global Managing Director, Asia and World Art (2021~)
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|
Past offices
|
- Deutsche Bank Asia Limited – Managing Director and Head of Corporate Advisory Group, Asia Pacific (2008-2019)
- UBS Investment Bank Asia – Managing Director and Head of Corporate Finance Group (2003-2008)
- Morgan Stanley Asia Limited – Analyst (1995), Associate (1996-1998) and Vice President (1999-2002)
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Qualifications
|
- Bachelor of Arts (Columbia College, Columbia University)
|
|
Age
|
57
|
|
Date of appointment
|
10 July 2015
|
|
Other major offices
|
- Kwok Yih & Chan – Partner (2014~)
|
|
Past offices
|
- Milbank– Partner (2011 – 2014)
- Mallesons Stephen Jaques – Partner (2004 – 2010)
|
|
Public service
|
- Financial Dispute Resolution Centre – Chairman (2018~)
- The Education University of Hong Kong – Deputy Chairman (2016 ~) and Council Member (2012~)
- Education Commission – Member (2016~)
- Banking Review Tribunal – Member (2016~)
- Quality Education Fund – Member of Steering Committee (2020~)
- Standing Committee on Legal Education and Training – Member (2019~)
- Standing Committee on Judicial Salaries and Conditions of Service – Member (2016~)
- Hong Kong Institute of Certified Public Accountants – Member of Regulatory Oversight Board (2018~)
|
|
Qualifications
|
- Bachelor of Laws and Fellow (King’s College London of University of London, UK)
- Practising Solicitor (Hong Kong)
- Non-practising Solicitor (England & Wales / Singapore / Australian Capital Territories)
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