Compliance, Legislative & Regulatory Standards

Insider Dealing


This course aims to refresh participants, through illustration of actual real life examples, on the key issues relating to insider dealing, including the statutory definitions of “relevant information” and “insider dealing”, the relevant circumstances when persons are not being held as insider dealers and the powers of the Insider Dealing Tribunal.


1. Definition of insider dealing
2. Relevant information and person connected with a corporation
3. Exemptions
4. Procedures and powers for the Insider Dealing Tribunal
5. Penalties

Who should attend

The course is mainly targeted to those practitioners who would like to refresh their knowledge and to better understand the key issues relating to insider dealing.

Speaker/Course Instructor

Louis CHOW
Mr. Chow is the Head of Risk, Legal & Compliance of a securities company in Hong Kong. He has more than 20 years of experience 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. He is a Financial Reporting Review Panel Member of the Financial Reporting Council and a Panel Member of the Resolvability Review Tribunal.


Date & Time
Wednesday, 4 Jul 2018 (6:30PM - 9:00PM)
HKSI Institute Training Centre
SFC:2.50, PWMA:2.50