[Webinar] Understanding and Preventing Trading Malpractices

Overview

There is an increase in trading malpractices related to SFC enforcement actions in recent years. This course will cover relevant parts in the SFC’s code of conduct and regulatory requirements relating to common trading malpractices. Participants would gain an insight into the corresponding preventive measures and also the techniques to detect the redflags.

Objective

To equip market participants with adequate knowledge and skills on key issues relating to trading malpractices. This course is practical in nature as it will cover not only regulatory requirements but also discuss market practices to effectively and efficiently complying with these requirements.

Content

1. SFC code of conduct and relevant rules
2. Ramp and Dump
3. Spoofing
4. Short selling
5. Churning
6. Unauthorised trades
7. Front running

Who should attend

Senior Management, Responsible Officers, Compliance Officers and those practitioners who would like to gain solid knowledge and understanding better the key issues relating to trading malpractices.

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

TPRCR25009901

Date & Time

Thursday, 27 Nov 2025 (12:00PM - 2:00PM)

Venue

Virtual Platform

Relevant Subject

Type 1 - Dealing in securities

Type 2 - Dealing in futures contracts

Type 4 - Advising on securities

Type 5 - Advising on futures contracts

Type 9 - Asset management

More

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