香港證券及投資學會年報2024

GOVERNANCE STRUCTURE 管治架構 OUR GOVERNANCE │學會管治 Chairperson and Chief Executive Mr Col in Shaftesley was re-elected by the Board Directors as Chairperson on 19 September 2023 for a one-year term, effective from the HKSI Institute’s 26th Annual General Meeting on 14 December 2023. The Chairperson leads the Board in setting the overall strategy, directions and policies of the HKSI Institute and takes the role as an ex- officio member in all committees. Miss Ruth Kung, Chief Executive of the HKSI Institute is also an ex- officio member of all committees of the HKSI Institute. The Chief Executive oversees the day-to-day management of the HKSI Institute, and drives the implementation of strategies approved by the Board. Committees There are seven standing committees under the Board, which play a crucial role in overseeing defined functions and providing expert counsel on the HKSI Institute’s programmes and operations. The committee members also serve as ambassadors, promoting the HKSI Institute, its initiatives and service offerings. The Secretariat The Secretariat, led by the Chief Executive, is responsible for the day-to-day operations of the HKSI Institute. As of 31 March 2024, the Secretariat has 58 full time employees, with six business units: Corporate Affairs, Corporate Communicat ions, Curriculum and Examinations, Education and Development, Innovation and Technology, and Membership and Business Development. It also includes a special project team responsible for the WAM Pilot Programme. Risk Management and Internal Controls Effective risk management and internal control measures are in place, with the Audit and Risk Committee conducting annual risk assessments to determine key areas for focus. Notably, an entity-level internal controls audit was completed during the reporting period, with no significant issues identified. To further strengthen our internal control and risk management, we have revised our procurement policy to promote transparency and accountability, taking effect from 1 April 2024. Additionally, we have enhanced our cybersecurity measures to protect sensitive information by strengthening policies and protocols to prevent unauthorised access, conducting constant surveillance of key systems, and appointment of specialists to monitor and protect the Institute from rising cybersecurity threats. 主席及行政總裁 於 2023 年 9 月 19 日，石鈞年先生再獲董事局成 員甄選為主席，任期 1 年，並於 2023 年 12 月 14 日舉行的第 26 屆周年大會起生效。主席肩負領 導董事局為學會制訂政策及整體策略，並出任 學會所有委員會的當然成員。 行政總裁孔慶詩小姐亦是學會所有委員會的當 然成員。行政總裁負責學會日常運作的行政工 作，以及推動落實經董事局批准的策略。 委員會 董事局下設七個常設委員會，就其既定功能獲 授權監督學會籌辦的活動及營運，提供專業意 見，發揮重要作用。此外，委員會成員亦擔當 大使角色，負責推廣學會及其倡議的措施和 服務。 秘書處 秘書處由行政總裁領導，負責學會的日常營 運。截至 2024 年 3 月 31 日，秘書處共聘有 58 名 全職員工，轄下設有六個部門，分別為機構事 務、企業傳訊、課程及考試、持續培訓、創新 及科技，以及會籍與業務拓展。此外，還包括 專責提升資產財富管理業人才培訓先導計劃 （資產財富管理業先導計劃）的項目團隊。 風險管理及內部監控 審計及風險委員會每年均進行風險評估，識別 重點領域，確保學會執行完善的風險管理和內 部監控措施。當中委員會於報告期內完成了實 體層面的內部監控審計，並無發現重大問題。 為進一步加強內部監控及風險管理，已修訂的 採購政策由 2024 年 4 月 1 日起生效，以提高透 明度和問責性。此外，學會亦加強網絡安全措 施，透過收緊相關政策和規則，以防止未經授 權的存取、持續監控重要系統，以及委託專家 協助學會監測和防範日趨嚴峻的網絡安全風險 威脅，致力保障敏感資料的安全。 HKSI Institute Annual Report 2024 10