[Webinar] Complying with HKEX Rules

Overview

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.

Objective

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.

Content

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

With over 20 years in investment banking, Philip has built a strong career in compliance, holding key roles at Jefferies, Morgan Stanley, Nomura, etc. As head of compliance, he ensures rules and regulatory adherence, strengthens internal controls, and enhances corporate governance. He has also been a panel speaker at ASIFMA conferences in Singapore, sharing insights on post-trade surveillance and industry trends. He holds an MSc in Advanced Information Technology from Imperial College London, is a school council community representative at the ESF Island School and previously served on the Board of Directors for the ISACA, advancing IT governance and audit best practices.

Details

Code

TPRCR25013601

Date & Time

Friday, 5 Dec 2025 (12:00PM - 2:00PM)

Venue

Virtual Platform

Relevant Subject

Type 1 - Dealing in securities

Type 2 - Dealing in futures contracts

Regulatory Compliance

Language

English

Hours

SFC:2.00, PWMA:2.00

Fees

All Member: HK$580

Staff of Corporate Member: HK$580

Chinese Securities Association of Hong Kong (HKCSA): HK$810

Non-Member: HK$1160

HKSI Institute Staff: HK$0

Honorary Fellow Member: HK$0

Compliance, Legislative & Regulatory Standards