Compliance, Legislative & Regulatory Standards

Overview of HKEX’s Rule Enforcement and Market Surveillance

Overview

This seminar will provide an overview of HKEX’s rule enforcement framework and ongoing market surveillance and monitoring work, including key findings and common deficiencies identified on exchange participants.

Content Highlight

1. Introduction & Course Overview
2. HKEX Rule Enforcement Framework
3. Annual Attestation and Inspection Program
4. Key Findings and Compliance Reminders
5. Market Surveillance and Monitoring
6. Surveillance System and Recent Development
7. Case Sharing
8. Regulatory and Disciplinary Actions

Who Should Attend

This course is mainly targeted to industry practitioners and compliance professionals who would like to learn more about how HKEX (i) carries out its rule enforcement, market surveillance and monitoring work and (ii) address any deficiencies and incidents of non-compliance by participants.

Instructor / Speaker

Kelvin Chu is a Senior Vice President of the Market Surveillance & Monitoring Department at Hong Kong Exchanges and Clearing Limited (HKEX). He has more than 20 years of experience in securities compliance and surveillance.

Kelvin Chu holds a Master degree in Finance from University of Hong Kong and is a member of the Hong Kong Institute of Certified Public Accountants.
Mandy Ho is a Senior Vice President of the Market Surveillance & Monitoring Department at Hong Kong Exchanges and Clearing Limited (HKEX). She has held senior compliance positions in several international financial services firms and has more than 16 years of experience in equities compliance and surveillance.

Mandy has a bachelor’s degree in Social Sciences from the University of Hong Kong (“HKU”) and an LLB from the Manchester Metropolitan University of the United Kingdom.

Administrative Details

Code
TPRCR19009701
Date & Time
Wednesday, 27 Nov 2019 (12:30 PM - 02:00 PM)
Venue
HKSI Institute Training Centre
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 6 - Advising on corporate finance
...More
Language
English
Hours
SFC:1.50, PWMA:1.50
Fees
Back Enrolment Closed