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 online session. If you wish to join in person, please click HERE for the physical session.
Remarks on this Online Session:
- Registration will be closed on 8 May 2024 at 5.00pm.
- Once enrolment in this online session is confirmed by the Institute, requests to change to physical session will not be entertained.
- Online session will be delivered via Zoom facility. The Institute has made every effort to ensure that the quality of the internet connection is sufficient for media streaming. Attendees should ensure that they are in an area of stable internet connection with suitable bandwidth as this can affect user’s experience.
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.