Speaker(s)

• Ms Amy Yu, Partner, Stephenson Harwood
• Mr David Chan, Associate, Stephenson Harwood
• Mr Sean Lam, Senior Managing Director, Forensic & Litigation Consulting, FTI Consulting (Panellist)
• Mr Daniel Chow FCG HKFCG(PE), Treasurer, HKCGI; Senior Managing Director, Corporate Finance and Restructuring segment, FTI Consulting (Chair)

Description

In today’s dynamic regulatory environment, the risk of regulatory investigations and enforcement actions is a notable concern for directors, senior management, and company secretaries of listed issuers. With the continuous evolution of enforcement trends and scrutiny from the Stock Exchange, it is crucial for listed issuers as well as their directors and senior management to remain informed and vigilante.

This seminar is a practical sharing session with updated insights on the latest enforcement trends from the Stock Exchange with case studies relevant for listed issuers. An interactive panel discussion featuring seasoned forensic practitioner will follow, focusing on practical solutions to enhance the effectiveness of internal control measures.

Key Topics Covered:

• Current Enforcement Trends: An overview of recent enforcement trends of the Stock Exchange and implications for listed issuer.
• Key Listing Rules Refresher: A refresher on key Listing Rules and regulatory issues that listed issuers should be aware of.
• Common Pitfalls: Example of common pitfalls that can lead to investigations and enforcement actions from the Stock Exchange.
• Proactive Measures and Ongoing Risk Mitigation: Strategies and practical tips to minimize non-compliance and enforcement risks, effectively address regulatory inquiries, and implement remediation plans.

Remarks on this Physical Session:

• This is the physical session and physical attendance is required for CPD counting purpose. If you wish to join online, please click HERE for the online session.
• Physical seats are limited and shall be taken on first-come first served basis. Registration will be closed on 20 June 2025 at 2.00pm.
• 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.

Level: Intermediate

Speakers' bios:
Ms Amy Yu
Mr David Chan
Mr Sean Lam (Panellist)
Mr Daniel Chow (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.