Speaker(s)
- Mr Gareth Hughes, Partner and Head of Asia Litigation Team, Debevoise & Plimpton
- Ms Emily Lam, International Counsel, Litigation, Debevoise & Plimpton
- Mr David Fu FCG HKFCG(PE), Council Member, HKCGI; Senior Advisor, Hong Kong Exchanges and Clearing Limited (Chair)
Description
Having an effective internal controls system in place is one of the most important aspects of corporate governance for listed issuers and regulated entities. Internal controls remain high on the list of enforcement priorities for regulators in recent years. Understanding the regulatory requirements, the consequences of breach and senior management’s responsibilities is, therefore, crucial in risk management and mitigation.
This seminar aims to serve as a refresher to governance professionals of the current regimes for internal controls, with discussions on the latest regulatory developments and recent enforcement cases, and concluding remarks on practical tips and suggested best practices.
Specific topics covered by this seminar will include:
- An overview of internal controls and their importance.
- Current regimes under the SFC and HKEx.
- Recent regulatory developments, including revisions to the Corporate Governance Code to impose a requirement for a whistleblowing policy.
- Senior management’s duties and responsibilities.
- Recent enforcement cases and challenges.
- Practical tips and suggested best practices.
This is the physical session (with the provision of light refreshments) and physical attendance is required for CPD counting purpose. If you wish to join online, please click HERE for the online session.
Remarks on this Physical Session:
- Physical seats are limited and shall be taken on first-come first served basis. Registration will be closed on 7 May 2024 at 5.00pm.
- Once enrolment in the physical session is confirmed by the Institute, requests to change to online session will not be entertained.
- Physical attendance is subject to the weather condition at the time of the seminar. The Institute reserves the right to convert enrolment in the physical session into online session.
Level: Intermediate
Speakers' and Chair's bio:
Mr Gareth Hughes
Ms Emily Lam
Mr David Fu
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.