Compliance, Legislative & Regulatory Standards

[Webinar] Update on Insider Dealing 2021

概要

Insider dealing can be a civil wrong or a criminal offence. Market regulators have adopted a zero-tolerance policy on insider dealing which has led to a number of criminal convictions and jail sentences. This course will refresh the elements of insider dealing under the Securities and Futures Ordinance (Cap.571) (“the SFO”), analyzes relevant cases in 2021 and considers its global development with practical tips against insider dealing for financial institutions and listed companies.

宗旨

To enhance the understanding of the legal framework governing insider dealing under the SFO and review relevant cases in 2021 for a regulatory update on insider dealing. It will also explore global development in insider dealing.

內容

1. What is insider dealing?
2. What is the legal regime regulating insider dealing under the SFO?
3. Insider dealing cases in 2021 and their implications
4. Global development on insider dealing
5. Practical tips for internal control procedures against insider dealing

對象

Senior management of listed companies, SFC licensees and ROs and financial services professionals

導師/講者

黎凱德
Donald Lai, Contributing Editor to Securities and Futures Ordinance (Cap 571): Commentary and Annotations (2019 Edition) Donald is a solicitor, certified public accountant and chartered company secretary. He spent most of his career in a statutory body. After earning his first degree in business administration in Canada, Donald obtained a part-time LLB degree with first-class honours at the City University of Hong Kong. In 2017, Donald completed the LLM program in Corporate and Financial Laws and graduated with distinction from the University of Hong Kong. Donald specialises in securities laws and is one of the contributing editors of the 2018 and 2019 editions of the SFO: Commentary and Annotations.

詳情

活動編號
TPRCR21012704
日期及時間
2021年12月7日, 星期二 (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
英文
課程時數
SFC:3.00, PWMA:3.00