Speaker(s)

• Mr Jon Witts, Head of Enforcement, Listing Division, HKEX
• Ms Sally Ho, Vice President, Enforcement, Listing Division, HKEX
• Ms Stephanie Chan, Partner, Sidley Austin
• Ms Claudia Yu, Partner, Sidley Austin
• Mr Frank Yuen FCG HKFCG, Group General Counsel, and Head of Compliance, CK Hutchison Holdings Limited (Chair)

Description

Supporting Organisation:	Event Sponsor:

It is paramount for directors, governance professionals and senior management to be aware of key regulatory expectations and common compliance pitfalls.

To explore these issues and update on the most recent developments, you are cordially invited to join an exclusive seminar and panel discussion designed specifically for directors, governance professionals and senior management, discussing some highly topical regulatory and compliance issues that have practical implications for the day-to-day discharging of their individual roles and responsibilities.

We are privileged to have two representatives from the Enforcement Department of Hong Kong Exchanges and Clearing Limited (HKEX)’s Listing Division and two leading legal practitioners in the contentious regulatory and corporate law space from Sidley Austin, who will share their insights on the common pitfalls and misconceptions of the listed issuers and directors and provide some practical tips on how to best manage the associated regulatory risks and ensure that both listed issuers and directors are well-equipped to face the challenges under the prevailing regulatory landscape.

Physical attendees can also enjoy a sponsored lunch at the venue prior to the seminar.

Highlights of the seminar:

• HKEX’s regulatory expectations
• Common pitfalls and misconceptions among listed issuers and directors concerning regulatory compliance and handling of HKEX investigations
• INEDs’ roles and responsibilities
• Corporate governance and internal controls
• Practical tips in effectively managing and responding to HKEX Investigations
• Role of governance professionals as gatekeepers and providing assistance to the board to ensure regulatory compliance

Remarks on this Luncheon Seminar:

• Lunch will start at 12.00 noon and last for one hour up to 1.00 pm.
• Seminar will start at 1.00 pm and last for 1.5 hours up to 2.30 pm while physical attendance is required for CPD counting purpose. If you wish to join online, please click HERE for the online session.
• Dress code: Smart Casual attire for gentlemen includes collared shirts, with or without ties, jackets are optional and non-denim trousers, together with shoes which exclude sports, athletic or open toed shoe style. Ladies are allowed discretion with their fashion styles but are requested not to wear denim or sports shoes described above, while proper un-torn denim jeans are permitted. 
• Physical seats are limited and shall be taken on first-come first served basis. Registration will be closed on 28 August 2024 at 5.00 pm.
• 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.
• Complimentary seats for senior members of HKCGI are not applicable.

Level: Intermediate

Speakers and Chair's bio:
Mr Jon Witts
Ms Sally Ho
Ms Stephanie Chan
Ms Claudia Yu
Mr Frank Yuen (Chair)

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.