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.

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.