Overview of HKEX’s Rule Enforcement and Market Surveillance
This seminar will provide an overview of HKEX’s rule enforcement framework and ongoing market surveillance and monitoring work, including key findings and common deficiencies identified on exchange participants.
1. Introduction & Course Overview
2. HKEX Rule Enforcement Framework
3. Annual Attestation and Inspection Program
4. Key Findings and Compliance Reminders
5. Market Surveillance and Monitoring
6. Surveillance System and Recent Development
7. Case Sharing
8. Regulatory and Disciplinary Actions
Who should attend
This course is mainly targeted to industry practitioners and compliance professionals who would like to learn more about how HKEX (i) carries out its rule enforcement, market surveillance and monitoring work and (ii) address any deficiencies and incidents of non-compliance by participants.
Kelvin Chu holds a Master degree in Finance from University of Hong Kong and is a member of the Hong Kong Institute of Certified Public Accountants.
Mandy has a bachelor’s degree in Social Sciences from the University of Hong Kong (“HKU”) and an LLB from the Manchester Metropolitan University of the United Kingdom.