內幕交易

內幕交易

概要

本課程旨在重新為業內人士講解及運用個案分析,重溫有關內幕交易的定義,其中包括「有關連之資料」及「內幕交易」的定義,不被定義為內幕交易之人士的情況,以及內幕交易審裁處之權力。

內容

1. 內幕交易的定義
2. 有關連之資料及與公司有關連之人士
3. 豁免情況
4. 內幕交易審裁處之權力及程序
5. 罰則

對象

本課程適合那些在工作上對內幕交易須有一定認識的金融從業員。

導師/講者

周嘉亮
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.

詳情

活動編號
TPRCR18001601
日期及時間
2018年5月21日, 星期一 (6:30下午 - 9:00下午)
地點
香港證券及投資學會培訓中心
語言
英文
級別
Advanced
課程時數
SFC:2.50, PWMA:2.50
請選擇語言
ENG