Training Calendar

A High Level Review of the Regulatory Trends in the Securities Industry (TPRCR17004102)

Course Overview

This course aims at highlighting the latest development of the regulatory trends through discussion and analysis of a few major regulatory cases since the 2008 Lehman Brothers Mini Bond issues.

On completion of the course, participants will be able to:
• tell the major regulatory concerns of the regulatory body 
• tell the potential control issues associated with the regulatory cases
• describe the possible solutions to deal with the potential control issues

Course Content

Categorization of the regulatory cases since the 2008 Lehman Brothers Mini Bond issues
Highlight of the potential control issues of some key cases
Discussion on the possible solutions to deal with the potential control issues of the above cases
Discussion on the coming regulatory concerns

Course Instructor : Mr Louis Chow

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.

Who Should Attend

The course is mainly targeted to senior financial services and securities practitioners who should be familiar with the latest development of the regulatory regime.

Administrative Details
Course Code : TPRCR17004102
Date & Time :
  • 31/07/2017 (6:30pm - 9:00pm)
Venue :

Room 510, 5th Floor, Wing On Centre, 111 Connaught Road Central, Hong Kong

Language : Cantonese
Level : Advanced
Course Hours :
  • 2.5 CPT hour recognized by SFC
Course Fees :

1. HK$875    2. HK$1,250

1. HKSI Institute Individual Member (M0001/FM00001), Student Member (U00001)
or staff of HKSI Corporate Member (C00001)
2. Standard Price (for Public)