Compliance, Legislative & Regulatory Standards

[Webinar] Complying with HKEX Rules



The course aims to highlight and refresh market participants’ general understanding of the HKEx securities and derivatives market rules, as well as specific duties and liabilities of licensed corporations. It covers HKEx rules, relevant SFC guidance notes, common market practices and relevant SFC enforcement cases.


By the end of the course, participants will be able to better understand :
- the HKEx rules when dealing in securities and derivatives markets in Hong Kong; and
- some of the HKEx annual self-attestation questionnaire.


1. Coverage of HKEX Rules
2. Securities Trading Rules
3. China Connect
4. Derivatives Trading Rules
5. Large Open Position (“LOP”) and Position Limit Reporting
6. Q&A

Who should attend

The course is mainly targeted at HKEX’s participants, Senior Management, SFC licensees, ROs, Compliance Officers and financial services professionals, who would like to refresh their knowledge and to better understand the HKEx rules and annual self-attestation questionnaire.

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
Monday, 8 Feb 2021 (12:00PM - 2:00PM)
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Regulatory Compliance
SFC:2.00, PWMA:2.00