(Webinar) Disciplinary Actions of the Stock Exchange

Service Description

The Stock Exchange continues to take firm disciplinary action against listed issuers, their directors and senior management. Directors increasingly face public censure, unsuitability statements and directions to attend training. Through case studies drawn from the Exchange's most recent decisions, this course looks at the breaches most often found, who is held responsible, the sanctions imposed and the practical lessons for boards. It counts towards directors' continuous professional development under the Listing Rules. Highlights of the course include: • Recent trends The Exchange's disciplinary actions over the past year, by type of breach and sanction • Case studies Non-cooperation with investigations, directors' oversight of fund flows, undisclosed notifiable and connected transactions, delayed results • Who is liable? Executive directors, non-executive directors and INEDs, and senior management of subsidiaries • Sanctions and directions Censures, unsuitability statements, mandatory training and delisting directions • Practical tips and FAQ How directors can avoid breaches, with a dedicated FAQ session