概要
此課程旨在摘要香港證券交易之主要監管法規。
內容
1. 證券及期貨條例
- 註冊的類別
- 註冊要求
- 避免不當交易行為之主要監管條例
2. 其他證券交易相關之守則，指引，規則及注釋之簡介
3. 香港聯合交易所-作用、功能及架構
4. 交易所參與者
5. 產品和合約
6. 交易系統
7. 賣空、證券借貸
8. 結算及交收
9. 股票期權交易及結算
10. 聯交所上市
11. 創業板及Nasdaq-SEHK市場
對象
本課程適合那些須認知香港證券交易監管法規或重溫相關知識的人士參與
導師/講者
李廣成
Mr Lee was the Head of Legal & Compliance of a financial institution and has held various senior positions in the legal and compliance department in financial services and securities firms.
Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a fellow of Institute of Chartered Accountants Australia and New Zealand, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and senior fellow of the Hong Kong Securities and Investment Institute.