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Thursday 9 June 2022




Online. No Physical attendance is required.


Morning session ECPD = 3 hours


Welcoming address

 icon_3 Mr Ernest Lee FCG(CS, CGP) HKFCG(CS, CGP)(PE)

President, HKCGI; Technical Partner, Deloitte China


Hong Kong Exchanges and Clearing Ltd (HKEX)

Regulatory update and guidance on post-listing compliance matters

icon_3 Mr Patrick Yu

Senior Vice President, Listed Issuer Regulation, Listing Division, HKEX


icon_3 Mr Max Cheng

Vice President, Listed Issuer Regulation, Listing Division, HKEX

Review on issuers’ financial statement disclosure under accounting standards

icon_3 Mr William Wong

Head of Accounting Affairs, Listing Division, HKEX

Internal controls and directors’ continuing oversight

icon_3 Mr Jon Witts

Head of Enforcement, Listing Division, HKEX

ESG and climate change – a preview of upcoming HKEX initiatives

icon_3 Ms Kelly Lee

Vice President, Policy and Secretariat Services, Listing Division, HKEX


icon_3 Ms Edith Shih FCG(CS, CGP) HKFCG(CS, CGP)(PE)

International Past President, The Chartered Governance Institute and Past President, HKCGI; Executive Director and Company Secretary, CK Hutchison Holdings Ltd


Securities and Futures Commission (SFC)

Recent breaches of the Takeovers Code: lessons to take away

icon_3 Mr Roger Cheng

Senior Director, Corporate Finance Division, SFC

IPO related conduct

icon_3 Mr Clarence Chan

Director, Corporate Finance Division, SFC

SFC’s enforcement work in relation to listed companies

icon_3 Mr Kenneth Luk

Senior Director, Enforcement Division, SFC

The new Code of Conduct requirements on bookbuilding and placing activities

icon_3 Mr Anthony Wong

Director, Intermediaries Supervision, Intermediaries Division, SFC


icon_3 Mr David Simmonds FCG(CS, CGP) HKFCG(CS, CGP)

Vice-President and Chairman, Membership Committee, HKCGI; Chief Strategy, Sustainability & Governance Officer and Company Secretary, CLP Holdings Ltd

Afternoon session ECPD = 3 hours


Acknowledgement of conference sponsors


Companies Registry (CR)

An overview of phase 2 of the new inspection regime

 icon_3 Ms Agnes Wong

Deputy Registry Manager (Registration), CR

 icon_3 Ms Fanny Lam

Deputy Registry Manager (Public Search), CR


icon_3 Ms Wendy Ho FCG(CS, CGP) HKFCG(CS, CGP)(PE)

Council Member and Vice-Chairman, Professional Development Committee, HKCGI; Executive Director, Corporate Services, Tricor Services Ltd


Office of the Privacy Commissioner for Personal Data, Hong Kong (PCPD)

Compliance with personal data privacy regulations, HK and beyond

 icon_3 Mr Dennis Ng

Assistant Privacy Commissioner (Legal,Global Affairs and Research) (Acting), PCPD

 icon_3 Ms Clemence Wong

Legal Counsel (Acting), PCPD


icon_3 Mrs Natalia Seng FCG(CS, CGP) HKFCG(CS, CGP)(PE)

Past President and Council Member, HKCGI


Hong Kong Business Ethics Development Centre, ICAC

Anti-corruption and ethical governance

icon_3 Mr Daniel Chui

Acting Executive Director, Hong Kong Business Ethics Development Centre, ICAC


icon_3 Mr Ernest Lee FCG(CS, CGP) HKFCS(CS, CGP)(PE)

President, HKCGI; Technical Partner, Deloitte China

[ECPD = 6 Points]


Note : The Institute reserves the right to change the programme, listed presenter(s) and time if necessary.

# No ECPD awarded. All views are those of the sponsors/interviewees and no attribution should be made to the Institute.