Understanding and Preventing Trading Malpractices

Understanding and Preventing Trading Malpractices

Lunch & Learn New

Overview

There is an increase in trading malpractices related to SFC enforcement actions in recent years.  This course will cover relevant parts in the SFC’s code of conduct and regulatory requirements relating to common trading malpractices.  Participants would gain an insight into the corresponding preventive measures and also the techniques to detect the redflags.

Objective

To equip market participants with adequate knowledge and skills on key issues relating to trading malpractices.  This course is practical in nature as it will cover not only regulatory requirements but also discuss market practices to effectively and efficiently complying with these requirements.

Content

1. SFC code of conduct and relevant rules
2. Spoofing
3. Short selling
4. Churning
5. Unauthorized trades
6. Front running

Who should attend

Senior Management, Responsible Officers, Compliance Officers and those practitioners who would like to gain solid knowledge and understanding better the key issues relating to trading malpractices.

Speaker/Course Instructor

Philip TING
Philip Ting has over 20 years of regional experience at four global investment banks. Mr Ting had held senior management positions in Global Market Compliance and Internal audit, Regional Head of Equities Compliance, Head of Trade Surveillance at multinational investment banks. Mr Ting holds MSc in advance information technology from Imperial College UK. He was the publicity director at Information System Audit and Control Association, Hong Kong chapter.

Details

Code
TPRCR19009901
Date & Time
Thursday, 21 Nov 2019 (12:00PM - 2:00PM)
Venue
HKSI Institute Training Centre
Language
English
Level
Intermediate
Hours
SFC:2.00, PWMA:2.00