Training Calendar

Overview of Legal and Regulatory Framework for Securities and Futures Industry (TPRCR17000605)

Course 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.

Course Content

  • 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

Course Instructor : Mr. Eugene Lee
Mr. Lee is currently the Head of Compliance of a financial institution and has held senior legal and compliance positions with local and international securities firms. He obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is also a member of Institute of Chartered Accountants in Australia and the Hong Kong Institute of Certified Public Accountants, a fellow of the Financial Services Institute of Australia and the Senior Fellow of the Hong Kong Securities and Investment Institute.

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.

Administrative Details
Course Code : TPRCR17000605
Date & Time :
  • 18/09/2017 (6:30pm - 9:00pm)
  • 20/09/2017 (6:30pm - 9:00pm)
Venue :

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

Language : Cantonese
Level : Introductory
Course Hours :
  • 5 CPT hour recognized by SFC
  • 5 CPD Hours recognized by OCI
Course Fees :

1.HK$1,000    2.HK$1,550

1. HKSI Institute Individual Member (M00001/FM00001), Student Member (U00001)
or Staff of HKSI Corporate Member (C00001)
2. Standard Price (for Public)