Compliance, Legislative & Regulatory Standards

[Webinar] Insider Dealing and Other Market Misconduct Offences

概要

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.

內容

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

對象

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.

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
TPRCR20008404
日期及時間
2020年12月7日, 星期一 (6:30下午 - 9:30下午)
地點
虛擬平台
相關主題
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
第6類 - 就機構融資提供意見
第7類 - 提供自動化交易服務
第8類 - 提供證券保證金融資
第9類 - 提供資產管理
第10類 - 提供信貸評級服務
第11類 - 場外衍生工具產品交易或就場外衍生工具產品提供意見
第12類 - 為場外衍生工具交易提供客户結算服務
監管合規
語言
Trad. Chi / 廣東話
課程時數
SFC:3.00, PWMA:3.00