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HOW TO MANAGE INSIDER DEALING? (WEBINAR)



 * Wednesday 14 Dec 2022

 * 6.45 pm – 8.15 pm

 * English

 * Webinar session. No physical attendance is required.

 * HKCGI Member, Graduate, Student, Affiliated Person & Non-Member

Enrol


SPEAKER(S)

Mr Donald Lai ACG HKACG, Solicitor, CPA


DESCRIPTION

The speaker discussed insider dealing from the perspective of enforcement in his
previous seminar in February 2022. To further elaborate on this engaging topic
in this seminar, he will examine what companies can do effectively in managing
insider dealing and what roles governance professionals can play. The following
elements will be covered:

 * Brief refresh of insider dealing offences and penalties
 * Internal control procedures:
    * Policy on trading company’s securities
    * Inside information handling procedures
    * Pre-trade declaration and approval
    * Holding period
    * Blackout period and Chinese Wall requirements
    * Post-trade monitoring
    * Whistleblowing

 * Disclosure of interests
 * Red flags of insider dealing
 * Corporate Governance Professional’s role:
    * Training
    * Compliance
    * Regulator’s enquiry

Level: Intermediate

Speaker's bio:
Mr Donald Lai

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.

 * HKCGI (ECPD Point(s)):1.5
 * The Law Society of HK (CPD Point(s)):TBC

 * MemberHK$320
 * GraduateHK$320
 * StudentHK$230
 * Affiliated PersonHK$320
 * Non-MemberHK$420

 * Registration Status: OPEN

Enrol


GOT QUESTIONS?

Visit our FAQs or contact the Professional Development Section: 2881 6177 or
email: cpd@hkcgi.org.hk

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