The directors and company secretary, and others in senior management positions are increasingly exposed to personal liabilities. Recently, HKEX is even seeking to impose secondary disciplinary liabilities on professionals whether they are external service providers or internal employees of listed companies. This seminar will explore the prevalent theme of individual responsibilities, and explore risk mitigations through proper discharge of duties. This seminar, by a seasoned legal practitioner, Ms Jill Wong who spoke at the Institute's ACRU, will cover :
- An update on the duties of directors and senior management
- Focus on key topics : market misconduct, fraud and corporate misfeasance, timely disclosures, acquisitions /disposals, role of INEDs, individual accountability
- HKEX's and SFC's recent initiatives
- Case studies
- Other risk areas : injunctions, search warrants, AML/CTF issues
Speaker and chair's bio:
Ms Jill Wong
Ms Gillian Meller
Seat guarantee will only be given to HKICS Fellows and/or Practitioner’s Endorsement (PE) holders if registered 10 clear working days with payment prior to the date of the seminar.
Note: The following fees for member, graduate and student are fees after 10% discount.