[Webinar]: Understanding and Preventing Trading Malpractices

[Webinar]: Understanding and Preventing Trading Malpractices

概要

There is an increase in trading malpractices related to SFC enforcement actions in recent years.? This course will cover relevant parts in the SFC’s code of conduct and regulatory requirements relating to common trading malpractices. Participants would gain an insight into the corresponding preventive measures and also the techniques to detect the redflags.

宗旨

To equip market participants with adequate knowledge and skills on key issues relating to trading malpractices.? This course is practical in nature as it will cover not only regulatory requirements but also discuss market practices to effectively and efficiently complying with these requirements.

內容

1. SFC code of conduct and relevant rules
2. Spoofing
3. Short selling
4. Churning
5. Unauthorised trades
6. Front running

對象

Senior Management, Responsible Officers, Compliance Officers and those practitioners who would like to gain solid knowledge and understanding better the key issues relating to trading malpractices.

導師/講者

TingWai Man
Philip Ting has over 20 years of regional experience at four global investment banks. Mr Ting had held senior management positions in Global Market Compliance and Internal audit, Regional Head of Equities Compliance, Head of Trade Surveillance at multinational investment banks. Mr Ting holds MSc in advance information technology from Imperial College UK. He was the publicity director at Information System Audit and Control Association, Hong Kong chapter.

詳情

活動編號
TPRCR20009901
日期及時間
2020年4月29日, 星期三 (12:00下午 - 2:00下午)
地點
虛擬平台
語言
英文
級別
Intermediate
課程時數
SFC:2.00, PWMA:2.00

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