Business Conduct & Ethical Standards

[Classroom] SFC Important Codes and Guidelines on Business Conduct

Overview

Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply.

This course provides an overview of various codes and guidelines and the consequences of failure to comply a provision therein. The Code of Conduct for persons Licensed by or Registered with the Securities and Futures Commission is generally applicable to all licensed and registered persons.

Content

1. Code of Conduct for persons Licensed by or Registered with the Securities and Futures Commission
2. Fund Manager Code of Conduct
3. Corporate Finance Adviser Code of Conduct
4. Code of Conduct for Persons providing Credit Rating Services
5. The Code of Conduct for Share Registrars
6. Management, Supervision and Internal Control Guidelines for persons Licensed by or Registered with the Securities and Futures Commission
7. Introduction to Guideline on Anti Money Laundering/Counter Terrorist Financing
8. Consequences of Infringement

Who should attend

This course is mainly targeted to industry practitioners or professionals who would like to gain a general knowledge of codes and guidelines issued by the Securities and Futures Commission.

Speaker/Course Instructor

Eugene LEE
Mr Lee was the Head of Legal & Compliance of a financial institution and has held various senior positions in the legal and compliance department in financial services and securities firms. Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a fellow of Institute of Chartered Accountants Australia and New Zealand, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and senior fellow of the Hong Kong Securities and Investment Institute.

Details

Code
TPRBE22000302
Date & Time
Tuesday, 23 Aug 2022 (6:30PM - 9:30PM)
Venue
HKSI Institute Training Centre
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
Fees
All Member: HK$660
Staff of Corporate Member: HK$660
Non-Member: HK$1320
Student Member (UHKSI): HK$330