Compliance, Legislative & Regulatory Standards

Understanding and Preventing Trading Malpractices

Lunch & Learn New


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.


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.


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 Global Market Compliance and regional Internal Audit experiences at four global investment banks. Mr Ting had held senior management positions and was the Regional Head of Equities Compliance as well as the Head of Trade Surveillance at multinational investment bank. 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.


Date & Time
Thursday, 21 Nov 2019 (12:00PM - 2:00PM)
HKSI Institute Training Centre
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 9 - Asset management
Lunch & Learn, New
SFC:2.00, PWMA:2.00