操控市場及紀律事項

操控市場及紀律事項

概要

本課程旨在使證券從業員認識有關觸犯操控市場的法規及其紀律制度。學員可透過課程認識以下各項:
1. 操控市場及其他市場謬誤
2. 刑事、紀律及民事處罰
3. 證監會的調查權力
4. 證監會的調查程序

內容

1. 講解操控市場及其他市場謬誤
2. 應注意的可疑事項
3. 證監會的調查程序
4. 被調查人士的權利
5. 有關證據事項
6. 處罰
7. 個案分析

對象

本課程適合那些在工作上對操控市場及紀律事項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
TPRCR18002001
日期及時間
2018年5月28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
廣東話
級別
Advanced
課程時數
SFC:2.50, PWMA:2.50, GARP:2.50
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ENG