Compliance, Legislative & Regulatory Standards

Regulation of Securities Trading


This course aims to provide an overview of the key regulation of securities trading business in Hong Kong.


1. Securities and Futures Ordinance
- Types of registration
- Registration requirement
- Key regulatory clauses in relation to prevention of improper trading practices
2. Brief introduction to other codes, guidelines, rules, and notes which are relevant to securities trading
3. Stock Exchange of Hong Kong Limited - Role, function, and structure
4. Exchange participantship
5. Products and contracts
6. Trading system
7. Short selling, securities borrowing and lending
8. Clearing and settlement
9. Stock options trading and clearing
10. Listing on the stock exchange
11. Growth Enterprise Market (GEM) and Nasdaq-SEHK market

Who should attend

People who would like to refresh or gain the basic regulatory knowledge in securities trading in Hong Kong should attend.

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.


Date & Time
Monday, 8 Oct 2018 (6:30PM - 9:00PM)
Wednesday, 10 Oct 2018 (6:30PM - 9:00PM)
HKSI Institute Training Centre
Relevant Subject
Type 1 - Dealing in securities
Type 4 - Advising on securities
Trad. Chi / Cantonese
SFC:5.00, PWMA:5.00