There is an increase in trading malpractices related to SFC enforcement actions in recent years. This course will cover relevant parts in the SFC’s code of conduct and regulatory requirements relating to common trading malpractices. Participants would gain an insight into the corresponding preventive measures and also the techniques to detect the redflags.
To equip market participants with adequate knowledge and skills on key issues relating to trading malpractices. This course is practical in nature as it will cover not only regulatory requirements but also discuss market practices to effectively and efficiently complying with these requirements.
1. SFC code of conduct and relevant rules
2. Ramp and Dump
4. Short selling
6. Unauthorised trades
7. Front running
Who Should Attend
Senior Management, Responsible Officers, Compliance Officers and those practitioners who would like to gain solid knowledge and understanding better the key issues relating to trading malpractices.
Instructor / Speaker
Type 2 - Dealing in futures contracts
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 9 - Asset management
Staff of Corporate Member: HKD560