Compliance, Legislative & Regulatory Standards

[Webinar] Update on Insider Dealing 2020


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 2020 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 2020 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 2020 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

Speaker/Course Instructor

Donald LAI
Donald Lai, Contributing Editor to Securities and Futures Ordinance (Cap 571): Commentary and Annotations (2019 Edition) Donald is a solicitor, certified public accountant and chartered company secretary. He spent most of his career in a statutory body. After earning his first degree in business administration in Canada, Donald obtained a part-time LLB degree with first-class honours at the City University of Hong Kong. In 2017, Donald completed the LLM program in Corporate and Financial Laws and graduated with distinction from the University of Hong Kong. Donald specialises in securities laws and is one of the contributing editors of the 2018 and 2019 editions of the SFO: Commentary and Annotations.


Date & Time
Friday, 26 Mar 2021 (6:30PM - 9:30PM)
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
SFC:3.00, PWMA:3.00