HKEx Listing Rules Corporate Governance Code
Mastering the Principles and Regulatory Framework of the HKEx Corporate Governance Code
What you'll learn
- Understand the three-tiered architecture of the HKEx Corporate Governance Code
- Identify the differences between mandatory requirements and the comply or explain framework
- Analyse the board of directors' responsibilities regarding leadership, oversight, and ethical conduct
- Explain the critical linkage between corporate governance structures and ESG performance
- Apply best practices for disclosing board composition, director independence, and committee roles
- Evaluate the impact of professional development and role separation on organizational accountability
About this course
This course provides a comprehensive exploration of the HKEx Corporate Governance Code, designed to help listed issuers navigate the complexities of modern regulatory requirements. The curriculum covers the essential architecture of the Code, emphasizing a balanced approach that promotes transparency, accountability, and long-term value creation.
Participants will gain a deep understanding of the three-tiered structure of the Code, which blends mandatory disclosure requirements with the flexible “comply or explain” framework. We will examine how to effectively integrate Environmental, Social and Governance (ESG) considerations into governance structures and how to ensure board-level oversight remains robust, ethical, and aligned with stakeholder expectations.
Curriculum · 60 lessons
- 1.
Foundational Principles of Corporate Governance Code
FREE2:06 - 2.
Understanding the Code's Three-Tiered Architecture
1:58 - 3.
Philosophy of the Comply or Explain Framework
FREE2:43 - 4.
Linking Corporate Governance and ESG Integration
2:00 - 5.
Mandatory Disclosures and Transparency Requirements
2:17 - 6.
Applying Principles and Demonstrating Governance Practices
2:09 - 7.
Board Composition Meetings and Director Accountability
2:20 - 8.
Board Operations and Independence Assessment Procedures
2:15 - 9.
Director Onboarding and Continuous Professional Development
2:15 - 10.
Separation of Chairman and Chief Executive Roles
2:02 - 11.
Quiz: Foundational Principles of Corporate Governance Code – Separation of Chairman and Chief Executive Roles
QUIZ5 questions · requires lessons - 12.
Non-Executive Director Appointment Terms and Tenure
2:10 - 13.
Board Committee Structure and Governance Performance
2:13 - 14.
Audit Committee Financial Integrity and Oversight
2:10 - 15.
Remuneration Committee and Executive Compensation Governance
2:10 - 16.
Nomination Committee Board Quality and Renewal
2:25 - 17.
Risk Committee and Board Corporate Governance Functions
2:10 - 18.
Company Secretary Support for Board Effectiveness
1:58 - 19.
Directors' Securities Transactions and Insider Trading
2:02 - 20.
Annual Review of Risk Management and Control
2:10 - 21.
Risk Assessment Changes and Internal Audit Function
2:10 - 22.
Quiz: Non-Executive Director Appointment Terms and Tenure – Risk Assessment Changes and Internal Audit Function
QUIZ5 questions · requires lessons - 23.
Evidence and Findings in Control System Reviews
2:09 - 24.
Auditor Remuneration and Independence Safeguards
1:54 - 25.
Promoting Inclusive Governance through Board Diversity
2:04 - 26.
Shareholders' Rights and Empowering Ownership Participation
2:00 - 27.
Investor Relations Communication and Engagement Policies
1:50 - 28.
Dividend Distribution Policy and Board Decisions
2:00 - 29.
Part 2 Principles and Provisions Foundation
2:14 - 30.
Corporate Purpose Strategy and Board Governance
2:02 - 31.
Aligning Purpose Values Strategy and Culture
2:05 - 32.
Board Responsibility for Corporate Governance Functions
1:57 - 33.
Quiz: Evidence and Findings in Control System Reviews – Board Responsibility for Corporate Governance Functions
QUIZ5 questions · requires lessons - 34.
Principles of Board Composition and Succession
2:00 - 35.
Independence Mechanisms and Board Performance Evaluation
2:15 - 36.
Recommended Best Practice on Cross-Directorship Explanation
2:06 - 37.
Director Appointments Re-election and Removal Procedures
2:13 - 38.
Nomination Committee Duties and Board Operations
2:20 - 39.
Directors' Fiduciary Responsibilities and Conduct
2:06 - 40.
Induction Development and Non-Executive Functions
2:05 - 41.
Disclosure Attendance and Director Insurance Protection
2:14 - 42.
Chairman and Chief Executive Leadership Separation
1:50 - 43.
Chairman's Critical Leadership and Governance Functions
2:10 - 44.
Quiz: Principles of Board Composition and Succession – Chairman's Critical Leadership and Governance Functions
QUIZ5 questions · requires lessons - 45.
Formal Schedule of Management Delegation Functions
2:00 - 46.
Board Committees and Conduct of Proceedings
1:55 - 47.
Meeting Frequency Notice and Documentation Requirements
1:56 - 48.
Advice Conflicts and Information Access Procedures
2:00 - 49.
Company Secretary Role in Board Effectiveness
2:09 - 50.
Balanced Financial Reporting Assessment and Accountability
1:57 - 51.
Assessment Quality and Quarterly Financial Reporting
2:05 - 52.
Risk Management and Internal Control Principle
2:08 - 53.
Scope of Annual Risk Management Review
2:40 - 54.
Internal Audit Whistleblowing and Anti-Corruption Policies
3:08 - 55.
Quiz: Formal Schedule of Management Delegation Functions – Internal Audit Whistleblowing and Anti-Corruption Policies
QUIZ5 questions · requires lessons - 56.
Audit Committee Detailed Operational Requirements
2:22 - 57.
Audit Committee Comprehensive Terms of Reference
2:30 - 58.
Oversight of Financial Reporting and Control
2:18 - 59.
Additional Audit Committee Governance Provisions
2:00 - 60.
Remuneration Policy Level and Disclosure Requirements
2:11 - 61.
Remuneration Committee Terms of Reference Scope
2:12 - 62.
Remuneration Provisions and Recommended Best Practices
2:20 - 63.
Shareholders Engagement and Meeting Conduct Principles
2:14 - 64.
Engagement Resolutions and Meeting Conduct Provisions
2:20 - 65.
Recommended Best Practices for Enhanced Transparency
4:15 - 66.
Quiz: Audit Committee Detailed Operational Requirements – Recommended Best Practices for Enhanced Transparency
QUIZ5 questions · requires lessons
Requirements
- Fundamental knowledge of corporate structure and board operations
- Basic familiarity with the HKEx Listing Rules
- Access to the latest Corporate Governance Code documentation
- An interest in regulatory compliance and sustainable business governance
13 days left to enroll
5 seats left
or watch individual lessons (1 credit/minute)