Training Calendar

Overview of Legal and Regulatory Framework for Securities and Futures Industry

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

On completion of the course, participants will be able to:
•      define the objectives, functions and roles of the various regulators and how they link together
•      understand Hong Kong legal system and company law
•      identify and understand the relative positions and goals of the participants in the industry

Course Content
•      Regulatory Overview of the Hong Kong Financial Markets
•      PROFILE of Participants in the Securities and Futures Industry
        -       Professionals
        -       Regulators
        -       Overseas Participants
        -       Fund Raisers
        -       Intermediaries
        -       Local Investors
        -       Exchanges and Clearing Houses
•      Overview of Hong Kong Corporate and Financial Laws
•      Corporate Governance and the Companies Ordinance
       -        Company Formation and Liquidation
       -        Memorandum and Articles of Association
       -        Meetings and Procedures
       -        Protection of Shareholders
       -        Powers and Duties of Directors
•      Framework of the Securities and Futures Ordinance
       -        Functions and Powers of the SFC
       -        Recognition of Exchanges, Clearing Houses, Automated Trading Services and Investor Compensation
       -        Regulation of Investment Offer and Promotion
       -        Regulation of Intermediaries
       -        Combat of Market Misconduct

Course Instructor :        Mr Eugene Lee
Mr. Lee is currently a Director, Chief Operating Officer of Tung Shing Securities (Brokers) and was the Head of Legal and Compliance for ICEA.  Prior to joining ICEA, he was a Senior Vice President of Daiwa Securities (HK) Limited for its Compliance and Legal Department.  He obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia.  Mr. Lee has been delivering training programmes for HKSI over nine years.  During these years, he has taught a number of courses related to compliance and back office management.  He is also 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 Institute.

Administrative Details
Course Code : TCRX0510111204
Date & Time :
  • 23/04/2012 (7:00pm - 9:00pm)
  • 24/04/2012 (6:30pm - 9:30pm)
Venue :

Room 2403-08, 24th Floor, Wing On Centre, 111 Connaught Road Central, H.K.

Language : English
Level : Introductory
Course Hours :
  • 5 CPT hour recognized by SFC
  • 5 CPD non-core hour recognized by MPFA
  • 5 CPD Hours recognized by OCI
Course Fees :

HKSI Members or staff of HKSI Corporate Members : HK$820  ;
Non-members :  HK$970