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 Online Session:

• This is the online session (without lunch). If you wish to join the physical session (with lunch), please click HERE.
• Registration will be closed on 3 September 2024 at 2.00pm.
• 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 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.