Overview of Legal and Regulatory Framework for Securities and Futures Industry (English) 證券及期貨法規及監管架構概述

Overview of Legal and Regulatory Framework for Securities and Futures Industry (English) 證券及期貨法規及監管架構概述

Full

Overview

This course provides an overview of the Hong Kong legal and regulatory framework for Securities and Futures Industry including the objectives, functions and roles of key participants and regulators.

Content

This course helps participants 
- understand the background of making the Securities and Futures Ordinance (SFO), which has been effective since 1 April 2003;
- identify financial products, services and financial regulators;
- define the objectives, functions and roles of the various regulators and how they link together;
- explain the objectives, functions, role, structure and operations of the Securities and Futures Commission (SFC);
- understand the Hong Kong legal system and the Companies Ordinance.

Lesson Plan
1. Introduction & Course Overview 
2. Securities industry in HK
3. Sources of regulation
4. Regulatory Overview of the HK Financial Markets
5. Profile of Participants in the Securities & Futures Industry
6. Hong Kong Corporate Laws and the Companies Ordinance
7. Corporate Governance
8. Anti-Money Laundering / Counter Terrorists Financing
9. SFC Code of Conduct
10. The Securities and Futures Ordinance (SFO):
- Disclosure of Interests
- Licensing
- FRR, Client Assets, Record & Audit
- Investor Compensation Company & Insurance 
- Short Selling, and Unsolicited Calls
- Market Misconduct
11. Latest regulatory development
12. Useful Websites
13. Recap of key learning & conclusion

Who should attend

This course is mainly targeted to industry practitioners or professionals who would like to gain a basic understanding of the legal and regulatory framework for securities and futures industry in Hong Kong.

Financial Incentive Scheme of the WAM Pilot Programme

This is one of the eligible courses under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.

In-service practitioners of the financial services industry will be eligible for the Scheme. They will be reimbursed 80% of the course fees, subject to a maximum of HK$7,000 (whichever is the lower) upon satisfactory completion of a course or seminar over the three-year period of the Scheme.

Each individual may apply for reimbursement for more than one course / seminar.

Application to reimburse the course fees, together with the required documents, must be submitted within four months from the last day of the course attended.

Please refer to the WAM Pilot Programme website for more details.

Speaker/Course Instructor

LEE Kwong Shing Eugene
Mr Lee is currently the Head of Compliance of a financial institution. Prior to his current role, he held various senior positions in the legal and compliance department in financial services and securities firms.

Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a member of Institute of Chartered Accountants in Australia, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and fellow of the Hong Kong Securities and Investment Institute.

Details

Code
TPRCR17003206
Date & Time
Tuesday, 17 Oct 2017 (6:30PM - 9:00PM)
Wednesday, 18 Oct 2017 (6:30PM - 9:00PM)
Venue
HKSI Institute Training Centre
Language
English
Hours
SFC:5.0, PWMA:5.0, IA/OCI:5.0