Compliance, Legislative & Regulatory Standards

[Webinar] Insider Dealing and Other Market Misconduct Offences

Overview

This course aims to refresh participants, through illustration of actual real life examples, on the key issues relating to insider dealing, market manipulation and Disclosure of False & Misleading Information.

Content Highlight

1. Civil or criminal proceedings in relation to Market Misconduct
2. Definition of insider dealing and defenses
3. Definition of market manipulation
4. Definition of false & misleading information
5. Safe Harbor Rules
6. Compensation to affected investors via Section 213 of the Securities & Futures Ordinance
7. Disciplinary action on licensed/registered individuals

Who Should Attend

The course is mainly targeted to those practitioners who would like to refresh their knowledge and to better understand the key issues relating to insider dealing and market manipulation.

Instructor / Speaker

Louis CHOW

Mr Chow is currently a Senior Consultant of a business advisory company. He has been a compliance professional with more than 30 years of experience in securities compliance through his role as Legal & Compliance Head of various investment banks, as regulator at the Compliance Division of the Stock Exchange of Hong Kong and the Enforcement Division of the Securities and Futures Commission.

Mr Chow is a Fellow Member of the Association of Chartered Certified Accountants and the Hong Kong Institute of Certified Public Accountants, Fellow Member of the Hong Kong Securities and Investment Institute, and Member of the American Association of Certified Fraud Examiners.

Administrative Details

Code
TPRCR25008402
Date & Time
Monday, 17 Nov 2025 (05:00 PM - 08:00 PM)
Venue
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
Language
Trad. Chi / Cantonese
Hours
SFC:3.00, PWMA:3.00
Fees
All Member: HK$870
Chinese Securities Association of Hong Kong (HKCSA): HK$1,220
HKSI Institute Staff: Free
Honorary Fellow Member: Free
Non-Member: HK$1,740
Staff of Corporate Member: HK$870
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