Corporate Secretaryship and Compliance

Course Coordinators:

Dr So Pik Ki, BSSc (CUHK); MPhil (CUHK); MCG (HKMU); PhD (CityU); Certified ESG Analyst; CMA

Excluded Combinations
CGV B897; CGV B897F

Courses Not Allowed to be Taken Again
CGV B812

Advisory prerequisite(s)
There are no mandatory course prerequisites for CGV B812F Corporate Secretaryship and Compliance.

Aims
CGV B812F Corporate Secretaryship and Compliance aims to equip students with a comprehensive understanding of governance, compliance and the advisory role of company officers and their interaction among stakeholders. It also aims to let students put regulatory knowledge and compliance into use according to a company's regulatory requirements, nature and principles, and best practices for shares, share capital, continuing obligations, notifiable and connected transactions. This course also targets to help students critically evaluate how boardroom dynamics might affect the quality of relationships, decision-making, conversations, culture, diversity and other factors, and their impact on the enhancement of boardroom performance with an understanding of the importance of boardroom dynamics for organisations and the different facets of boardroom dynamics.

Contents
The course covers the following topics:

• Formation, capital reconstruction and dissolution of Hong Kong companies
• The board of directors, company secretary and members
• Governance structures and oversight by regulators
• Meetings and board engagement with shareholders
• Financial and non-financial reporting, and external audit
• Continuing obligations of listed companies, and other regulatory and compliance issues
• Best practices in the company secretarial function
• Board dynamics

Contact hours
A total of 60 contact hours across one term.

Assessment
The continuous assessment portion of the course accounts for 40% of the total course score, while the final examination accounts for the remaining 60%. Students are required to submit assignments via the Online Learning Environment (OLE).

Set book(s)
No textbook is required.