Compliance, Legislative & Regulatory Standards

Overview of HKEX’s Rule Enforcement and Market Surveillance

概要

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.

內容

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

對象

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.

導師/講者

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.

詳情

活動編號
TPRCR19009701
日期及時間
2019年11月27日，星期三 (12:30 下午 - 02:00 下午)
地點
香港證券及投資學會培訓中心
相關主題
第1類 - 證券交易
第2類 - 期貨合約交易
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
第6類 - 就機構融資提供意見
...更多
語言
英文
課程時數
SFC:1.50, PWMA:1.50
費用
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