Compliance, Legislative & Regulatory Standards

[Webinar] Insider Dealing and Other Market Misconduct Offences

Overview

This course aims to refresh participants, through illustration of actual real life examples, on the key issues relating to insider dealing, market manipulation and Disclosure of False & Misleading Information.

Content

1. Civil or criminal proceedings in relation to Market Misconduct
2. Definition of insider dealing and defenses
3. Definition of market manipulation
4. Definition of false & misleading information
5. Safe Harbor Rules
6. Compensation to affected investors via Section 213 of the Securities & Futures Ordinance
7. Disciplinary action on licensed/registered individuals

Who should attend

The course is mainly targeted to those practitioners who would like to refresh their knowledge and to better understand the key issues relating to insider dealing and market manipulation.

Speaker/Course Instructor

Louis CHOW
Mr. Chow is the Head of Risk, Legal & Compliance of a securities company in Hong Kong. He has more than 20 years of experience in securities compliance through his role at various international investment banks, the Compliance Division of the Stock Exchange of Hong Kong and the Enforcement Division of the Securities and Futures Commission.

Mr. Chow is a Fellow Member of the Association of Chartered Certified Accountants and the Hong Kong Institute of Certified Public Accountants, Member of the Hong Kong Securities and Investment Institute, and Member of the American Association of Certified Fraud Examiners. He is a Financial Reporting Review Panel Member of the Financial Reporting Council and a Panel Member of the Resolvability Review Tribunal.

Details

Code
TPRCR21008403
Date & Time
Friday, 17 Dec 2021 (6:30PM - 9:30PM)
Venue
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
Type 6 - Advising on corporate finance
Type 7 - Providing automated trading services
Type 8 - Securities margin financing
Type 9 - Asset management
Type 10 - Providing credit rating services
Type 11 - Dealing in OTC derivative products or advising on OTC derivative products
Type 12 - Providing client clearing services for OTC derivative transactions
Regulatory Compliance
Language
Trad. Chi / Cantonese
Hours
SFC:3.00, PWMA:3.00