Regulation of Securities Trading

Regulation of Securities Trading



This course aims to provide an overview of the key regulation of securities trading business in Hong Kong.


1. Securities and Futures Ordinance
- Types of registration
- Registration requirement
- Key regulatory clauses in relation to prevention of improper trading practices
2. Brief introduction to other codes, guidelines, rules, and notes which are relevant to securities trading
3. Stock Exchange of Hong Kong Limited - Role, function, and structure
4. Exchange participantship
5. Products and contracts
6. Trading system
7. Short selling, securities borrowing and lending
8. Clearing and settlement
9. Stock options trading and clearing
10. Listing on the stock exchange
11. Growth Enterprise Market (GEM) and Nasdaq-SEHK market

Who should attend

People who would like to refresh or gain the basic regulatory knowledge in securities trading in Hong Kong should attend.

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.


Date & Time
Monday, 27 Nov 2017 (6:30PM - 9:00PM)
Tuesday, 28 Nov 2017 (6:30PM - 9:00PM)
HKSI Institute Training Centre
SFC:5.0, PWMA:5.0, GARP:5.0