Compliance, Legislative & Regulatory Standards

[Webinar] Codes of Conduct Specialized on Treasury and FX


The purpose of both international and local Codes of Conduct on Treasury and FX is to promote a robust, fair, liquid, open, and appropriately transparent market, which enhance market participants' confidence and their protection. Market participants can transact at competitive prices that reflect available market information and in a manner that conforms to acceptable standards of behaviour.


By the end of this training, participants will be able to know:
1. The disclosure of trading capacity and monetary benefits under the Codes of Conduct
2. Best way to handle conflict of interest when treasury manages FX and money market trades for clients
3. How to act honestly, fairly and with due skill, care and diligence in the best interests of clients
4. Best way to make adequate disclosure of relevant material information under treasury management
5. The best way to place appropriate policies, systems, controls and management supervision over order handling and spread charges
6. How staff dealing impacts on treasury and dealing staff

Content Highlight

1. SFC Code of Conduct on Treasury and FX
2. Post-trade spread handling in treasury
3. How to handle Fund Manager Code of Conduct in Treasury
4. FX Global Code

Who Should Attend

All front-line participants, especially working in Treasury, who want to understand how the local and international codes impact on Treasury and FX market. Senior management, compliance staff and auditors.

Instructor / Speaker

Kingston TSANG

Mr Tsang currently works as a FX product manager in the treasury department from an international bank. Before taking this position, he worked as a sales trader and FX advisor in different international private banks for over 14 years, focusing in both FX and precious metals. He also specialises in providing FX strategies and managing portfolios with different FX derivatives products.

Mr Tsang is a Chartered Financial Analyst holder(CFA) and Certified Financial Risk Manager (FRM), graduated with a Master of Finance degree from the University of Hong Kong.

Administrative Details

Date & Time
Thursday, 14 Dec 2023 (06:30 PM - 09:00 PM)
Virtual Platform
Relevant Subject
Ethics / Compliance
Trad. Chi / Cantonese
SFC:2.50, PWMA:2.50