Speaker(s)

• Mr Charles Chan, Director, Enforcement Division, SFC
• Ms Joanna Lee, Director, Enforcement Division, SFC
• Mr Kenneth Chan, Senior Vice President, Listing Regulation and Enforcement, Listing, HKEX (Panellist)
• Ms Stephanie Chan, Partner, Sidley Austin
• Ms Claudia Yu, Partner, Sidley Austin
• Mr Robin Healy FCG HKFCG, Council Member, HKCGI; Director – Corporate Governance Secretariat, Link REIT (Chair)

Description

It is of paramount importance for directors, governance professionals and senior management to understand the regulatory expectations regarding the evolving role of Independent Non-Executive Directors (INEDs) under the prevailing regulatory landscape.  INEDs play a critical role in promoting best practices in corporate governance among listed companies, particularly in supervising management, overseeing the listed company’s financial reporting and performance, managing risks and ensuring regulatory compliance to protect shareholders’ interests. 

In recent years, the Securities and Futures Commission (SFC) and other regulators have increasingly focused on INEDs’ roles in ensuring listed companies have maintained adequate and effective internal controls, and that they have properly discharged their independent supervisory duty. Recent enforcement cases show that SFC and other regulators are increasingly holding INEDs accountable for corporate misconduct.

In this exclusive seminar and panel discussion designed specifically for directors, governance professionals and senior management, we are privileged to have two representatives from the Enforcement Division of the SFC, one representative from the Listing Division of Hong Kong Exchanges and Clearing Limited (HKEX), and two leading legal practitioners in the contentious regulatory and corporate law space from Sidley Austin, who will share their insights on the duties, obligations, common pitfalls and misconceptions of INEDs and provide some practical tips on how to best manage the associated regulatory risks and ensure that both listed issuers and INEDs are well-positioned to safeguard the interest of their companies, investors as well as the wider Hong Kong’s capital markets.

Highlights of the seminar:

• SFC’s regulatory expectations
• HKEX's regulatory expectations
• Common pitfalls and misconceptions among listed companies and directors concerning regulatory compliance and investigations
• INEDs’ roles and responsibilities
• Corporate governance and internal controls
• Practical tips for INEDs in effectively managing their obligations

Remarks on this Physical Session:

• Seminar will start at 3.30pm and last for 1.5 hours up to 5.00pm while physical attendance is required for CPD counting purpose. If you wish to join online, please click HERE for the online session.
• Cocktail will start at 5.00pm and last for one hour up to 6.00pm.
• Dress code: Smart Casual means smart shirt with collar or polo shirt, and smart trousers, including smart denim. This means no sports, training or exercise type clothing or gear, for example, no T shirts, sweat shirts, training pants, slippers, flip flops, sandals, exercise footwear, working or hiking boots. However, smart and clean fashion-sports shoes are permitted. Blouses, smart T shirts are permitted for ladies but not exercise wear type T shirts.
• Physical seats are limited and shall be taken on first-come first served basis. Registration will be closed on 11 March 2025 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.
• Complimentary seats for senior members of HKCGI are not applicable.

Level: Intermediate

Speakers' bios:
Mr Charles Chan
Ms Joanna Lee
Mr Kenneth Chan (Panellist)
Ms Stephanie Chan
Ms Claudia Yu
Mr Robin Healy (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.