Compliance, Legislative & Regulatory Standards
Update on Insider Dealing
Insider dealing can be a civil wrong or a criminal offence. Market regulators have adopted a zero-tolerance policy on insider dealing which has led to a number of criminal convictions and jail sentences. This course will refresh the elements of insider dealing under the Securities and Futures Ordinance (Cap.571) (“the SFO”), analyzes relevant cases in 2018 and considers its global development with practical tips against insider dealing for financial institutions and listed companies.
To enhance the understanding of the legal framework governing insider dealing under the SFO and review relevant cases in 2018 for a regulatory update on insider dealing. It will also explore global development in insider dealing.
1. What is insider dealing?
2. What is the legal regime regulating insider dealing under the SFO?
3. Insider dealing cases in 2018 and their implications
4. Global development on insider dealing
5. Practical tips for internal control procedures against insider dealing
Who should attend
Senior management of listed companies, SFC licensees and ROs and financial services professionals
Donald earned his first degree in business administration (majoring in accounting) in Canada. While working full-time, he obtained his LLB degree with first-class honours at the City University of Hong Kong and graduated from the LLM program in Corporate and Financial Laws with distinction at the University of Hong Kong.