1. Corporate Disclosure Policy with Case Studies

  • Objectives of Corporate Disclosure Policy
  • Disclosure of Material Information
  • Thorough Public Dissemination of Information
  • Clarifications of Rumours & News Articles
  • Response to Unusual Market Activity
  • Unwarranted Promotional Disclosure
  • Withholding of Material Information
  • Financial Statements – Timeliness and Adequacy
  • Provision of Financial Assistance

2. Directors' Dealing in Securities and Insider Trading

  • Definitions of dealings in securities
  • Dealings in securities during and outside closed periods
  • Insider trading – Listing Requirements & Capital Markets and Services Act 2007
  • Types of insider trading cases
  • Investigations and evidence
  • Case studies

3. Related Party Transactions and Recurrent Related Party Transactions

  • Framework for Related Party Transactions & Recurrent Related Party Transactions
  • Definition of Related Party Transactions
  • Who are the Related Parties?
  • What are the disclosure requirements under Listing Requirements (LR)?
  • What are the exemptions provided under the LR?
  • Case Studies

4. Understanding the Challenges of Compliance with Listing Requirements

  • Overview of Enforcement Action Against Company and Directors
  • Financial Statements and Annual Report Disclosures
  • Corporate Disclosures Policy
  • Transactions – Acquisitions and Disposals of Assets
  • Financial Assistance
  • Insider Trading Cases
  • Risk Management and Internal Controls
  • Case Studies
Course Code
  • DLR01 – Corporate Disclosure Policy with Case Studies (2 hours)
  • DLR02 – Directors’ Dealing in Securities and Insider Trading (2 hours)
  • DLR03 – Related Party Transactions (“RPT”) and Recurrent Related Party Transactions (“RRPT”) (2 hours)
  • DLR04 – Understanding the Challenges of Compliance with Listing Requirements (4 hours)