SFO Series - Disclosure of Interests

Overview

This course mainly focuses on the key requirements on disclosure of interests under the Securities and Futures Ordinance (SFO).

Content

1. Who has the duty of disclosure?
2. Disclosure of short positions
3. Requirement for giving notification
4. Listed corporation’s powers to investigate ownership
5. Duty and requirements of disclosure by directors and chief executives
6. Keeping of register
7. Power to investigate listed corporation’s ownership
8. Orders imposing restrictions on shares

Who should attend

The course is targeted to those who need to gain the knowledge in regulatory requirements on disclosure of interests.

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.

Details

Code

TPRCR18002903

Date & Time

Friday, 7 Dec 2018 (6:30PM - 9:30PM)

Venue

HKSI Institute Training Centre

Language

Cantonese

Hours

SFC:3.00, PWMA:3.00