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 Online Session:

• This is the online session (without cocktail). If you wish to join in person (with cocktail), please click HERE for the physical session.
• Registration will be closed on 12 March 2025 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' 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.