Compliance, Legislative & Regulatory Standards

[Webinar]: Insider Dealing and Other Market Misconduct Offences


This course aims to refresh participants, through illustration of actual real life examples, on the key issues relating to insider dealing, market manipulation and Disclosure of False & Misleading Information.


1. Civil or criminal proceedings in relation to Market Misconduct
2. Definition of insider dealing and defenses
3. Definition of market manipulation
4. Definition of false & misleading information
5. Safe Harbor Rules
6. Compensation to affected investors via Section 213 of the Securities & Futures Ordinance
7. Disciplinary action on licensed/registered individuals


The course is mainly targeted to those practitioners who would like to refresh their knowledge and to better understand the key issues relating to insider dealing and market manipulation.


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.


2020年5月7日, 星期四 (6:30下午 - 9:30下午)
第1類 - 證券交易
第2類 - 期貨合約交易
第3類 - 槓桿式外匯交易
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
Trad. Chi / 廣東話
SFC:3.00, PWMA:3.00

Please note: This webinar will be delivered via WebEx.  To qualify for CPT/OPT hours, participants are required to attend the full webinar.

You may want to check if WebEx works on your device prior to enrolment, click here to test