Compliance, Legislative & Regulatory Standards

Market Manipulation & Related Disciplinary Issues


This course aims at familiarising the practitioners in the securities industry with the law and practice related to the statutory offence of market manipulation and the related disciplinary regime.

On completion of the course, participants will be able to:
1. describe market manipulation and other trading malpractices
2. tell the criminal, disciplinary and civil penalties
3. tell the investigatory regime of the SFC
4. describe the procedure of a SFC investigation


1. Defining market manipulation and other trading malpractices
2. Common situations where suspicion arises
3. Investigation by SFC
4. Rights of persons under investigation
5. Issues of evidence
6. Penalties
7. Illustration of actual life examples

Who should attend

The course is mainly targeted to those financial services and securities practitioners who should be familiar with market manipulation, common trading malpractices and related law and disciplinary regime.

Speaker/Course Instructor

Louis CHOW
Mr. Chow is the Head of Risk, Legal & Compliance of a securities company in Hong Kong. He has more than 20 years of experience in securities compliance through his role at various international investment banks, the Compliance Division of the Stock Exchange of Hong Kong and the Enforcement Division of the Securities and Futures Commission.

Mr. Chow is a Fellow Member of the Association of Chartered Certified Accountants and the Hong Kong Institute of Certified Public Accountants, Member of the Hong Kong Securities and Investment Institute, and Member of the American Association of Certified Fraud Examiners. He is a Financial Reporting Review Panel Member of the Financial Reporting Council and a Panel Member of the Resolvability Review Tribunal.


Date & Time
Friday, 30 Nov 2018 (6:30PM - 9:00PM)
HKSI Institute Training Centre
SFC:2.50, PWMA:2.50, GARP:2.50