Compliance, Legislative & Regulatory Standards

[Webinar] Regulation of Securities Trading


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


1. The SFC and the SFO
- Registration Requirements
- Proper and Improper Trading Practice
- Short Selling
- Insider Dealing and Market Manipulation
2. Brief introduction to other relevant codes and guidelines
- Code of Conduct for Persons Licensed by or Registered with the SFC
- Internal Control Regulations
- Money Laundering & Terrorist Financing
- Margin Financing
- Financial Resources Rules
3. SEHK & its Rules
- Exchange Participantship
- Trading System
- Securities Borrowing and Lending
- Stock Options Trading and Clearing
- Listing

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
Tuesday, 20 Sep 2022 (6:30PM - 9:00PM)
Friday, 23 Sep 2022 (6:30PM - 9:00PM)
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 4 - Advising on securities
Trad. Chi / Cantonese
SFC:5.00, PWMA:5.00