Regulatory Update Series

[Webinar] Introduction of Competition Ordinance and Relevant Implications for Financial Services Practitioners


In a free market economy, competition drives efficiency and innovation, and directs businesses to meet consumer demands by providing the right products at the right price and quality. The Competition Ordinance, which came into full effect in December 2015, is designed to promote competition and prohibit anti-competitive practices in Hong Kong. With case sharing, the speaker will introduce the key elements of the Ordinance and discuss relevant implications for the financial services sector.


By the end of the seminar, participants will be able to know:
1) First Conduct Rule and Second Conduct Rule under the Competition Ordinance
2) Competition cases in Hong Kong
3) Red flags of anti-competitive practices
4) Policies for undertakings and individuals:
- Leniency Policies
- Cooperation and Settlement Policy
- Policy on Recommended Pecuniary Penalties


- Key elements of the Competition Ordinance
- Dos and don’ts under the Ordinance
- Red flags of anti-competitive practices
- Leniency Policies and Cooperation Policy
- Policy on Recommended Pecuniary Penalties
- Case sharing
- Q&A

Who should attend

Industry practitioners and professionals, especially regulators, auditors and licence holders, who would like to gain a general knowledge of Hong Kong’s competition law

Speaker/Course Instructor

Charlotte HO
Ms. Charlotte Ho joined the HKCC in 2016 and is currently the Head (Investigations I), managing and supervising the HKCC’s cartel investigations portfolio. She also coordinates the HKCC’s participation within the International Competition Network Cartel Working Group, and is involved in the HKCC’s public outreach and advocacy work. Prior to joining the HKCC, Charlotte worked in the Enforcement division at the Securities and Futures Commission for 6 years, conducting securities market surveillance, assessment of market misconduct, and disciplinary proceedings against financial intermediaries in Hong Kong. Charlotte holds degrees in Economics from University of Cambridge and Law from University of London, and has recently obtained an Executive LLM jointly awarded by Kings College London and the International Bar Association in 2019.


Date & Time
Friday, 26 Nov 2021 (4:00PM - 6:00PM)
Virtual Platform
SFC:2.00, PWMA:2.00