概要

As financial markets evolve, new forms of misconduct and increasingly digital market practices continue to present challenges for regulators and market participants. In this session, Michael Duignan, Executive Director, Enforcement, Securities and Futures Commission, will share insights into key enforcement trends and emerging risks affecting Hong Kong’s securities and futures markets.

The session will explore evolving market misconduct, the role of technology and data analytics in enforcement, and cross-agency collaboration in safeguarding market integrity, offering participants timely insights into the changing enforcement landscape and its implications for market participants.

The event will be in hybrid format, for in-person, please click here to register!

內容

1. Enforcement Landscape and Areas of Focus

• Key enforcement trends and evolving forms of market misconduct

2. Market Misconduct in a Changing Environment

• Insider dealing and market manipulation
• Emerging risks associated with digital and social-media channels, including unlicensed “finfluencer” activities

3. Technology and Data Analytics in Enforcement

• The growing role of technology and data analytics in identifying and addressing potential misconduct

4. Cross-Agency Collaboration and Market Integrity

• Collaboration between the SFC, ICAC, HKEX and other regulatory and law-enforcement bodies in tackling complex misconduct and safeguarding market integrity

對象

Responsible officers, senior management, and compliance, legal and risk professionals, as well as other financial-market practitioners with responsibilities relating to regulatory compliance, conduct risk and market integrity.