Speaker(s)

Description

The speaker discussed insider dealing from the perspective of enforcement in his previous seminar in February 2022. To further elaborate on this engaging topic in this seminar, he will examine what companies can do effectively in managing insider dealing and what roles governance professionals can play. The following elements will be covered:

• Brief refresh of insider dealing offences and penalties
• Internal control procedures:
• Policy on trading company’s securities
• Inside information handling procedures
• Pre-trade declaration and approval
• Holding period
• Blackout period and Chinese Wall requirements
• Post-trade monitoring
• Whistleblowing
• Disclosure of interests
• Red flags of insider dealing
• Corporate Governance Professional’s role:
• Training
• Compliance
• Regulator’s enquiry

Level: Intermediate

Speaker's bio:
Mr Donald Lai

Seat guarantee will only be given to HKCGI Fellows and/or Practitioner’s Endorsement (PE) holders if registered 10 clear working days with payment prior to the date of the seminar.