Overview

Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply.

This course provides an overview of various codes and guidelines and the consequences of failure to comply a provision therein. The Code of Conduct for persons Licensed by or Registered with the Securities and Futures Commission is generally applicable to all licensed and registered persons.

Content

1. Code of Conduct for persons Licensed by or Registered with the Securities and Futures Commission
2. Fund Manager Code of Conduct
3. Corporate Finance Adviser Code of Conduct
4. Code of Conduct for Persons providing Credit Rating Services
5. The Code of Conduct for Share Registrars
6. Management, Supervision and Internal Control Guidelines for persons Licensed by or Registered with the Securities and Futures Commission
7. Introduction to Guideline on Anti Money Laundering/Counter Terrorist Financing
8. Consequences of Infringement

Who should attend

This course is mainly targeted to industry practitioners or professionals who would like to gain a general knowledge of codes and guidelines issued by the Securities and Futures Commission.