Compliance, Legislative & Regulatory Standards

[Webinar] Update on Insider Dealing 2023

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 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

導師/講者

黎凱德
Donald is a solicitor, certified public accountant and chartered company secretary. Before working as a regulatory legal counsel of a financial institution, he was a veteran regulator. Donald earned two undergraduate and two post-graduate degrees in accounting and law from universities in Canada, Hong Kong, and the UK. Donald specialises in securities laws. He was a part-time lecturer of Baptist University responsible for teaching “Securities Regulation” to post-graduate students. He is one of the contributing editors of the 2018 and 2019 editions of the SFO: Commentary and Annotations.

詳情

活動編號
TPRCR23008801
日期及時間
2023年12月13日, 星期三 (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
更多
語言
英文
課程時數
SFC:3.00, PWMA:3.00