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”), analyses relevant cases 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 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. Recent insider dealing cases 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