Market Manipulation & Related Disciplinary Issues

Market Manipulation & Related Disciplinary Issues

Overview

This course aims at familiarising the practitioners in the securities industry with the law and practice related to the statutory offence of market manipulation and the related disciplinary regime.

On completion of the course, participants will be able to:
1. describe market manipulation and other trading malpractices
2. tell the criminal, disciplinary and civil penalties
3. tell the investigatory regime of the SFC
4. describe the procedure of a SFC investigation

Content

1. Defining market manipulation and other trading malpractices
2. Common situations where suspicion arises
3. Investigation by SFC
4. Rights of persons under investigation
5. Issues of evidence
6. Penalties
7. Illustration of actual life examples

Who should attend

The course is mainly targeted to those financial services and securities practitioners who should be familiar with market manipulation, common trading malpractices and related law and disciplinary regime.

Speaker/Course Instructor

CHOW Ka Leung Louis
Mr Chow is the Managing Director, Head of Legal and Compliance of a securities company in Hong Kong. He has more than 20 years of experiences in securities compliance through his role at various international investment banks, the Compliance Division of the Stock Exchange of Hong Kong and the Enforcement Division of the Securities and Futures Commission. Mr Chow is a Fellow Member of the Association of Chartered Certified Accountants and the Hong Kong Institute of Certified Public Accountants, Member of the Hong Kong Securities and Investment Institute, and Member of the American Association of Certified Fraud Examiners.

Details

Code
TPRCR17002004
Date & Time
Monday, 18 Dec 2017 (6:30PM - 9:00PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Hours
SFC:2.5, PWMA:2.5, GARP:2.5
Fees
All Member: HK$625
Staff of Corporate Member: HK$625
Non-Member: HK$1250