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Course Details

Market Misconduct and Insider Dealing
Andrew Bruce, S.C., Q.C., Barrister-at-law, Gilt Chambers
Date: 6 December 2019 (Friday)
Time: 2:30pm - 5:45pm
Level: I (Intermediate)
For delegates who have prior knowledge of the subject area
Language: English
Fee: HK$ 1,700
Accreditation: (Law CPD Points being applied for)
Ref: L19SF11
Venue: Learning Commons Ltd
Room 1602, 16/F,
1 Duddell Street,
Central, Hong Kong
[View Map]
Presenter's Biography:

Andrew Bruce was born in Melbourne, Australia in 1951. He studied law at the Australian National University, and was admitted as a barrister and solicitor of the Supreme Court of South Australia and the High Court of Australia in 1977, and a barrister of the Supreme Court of Hong Kong in 1996. He started as Crown Counsel at the then Attorney General's Chambers, Hong Kong, and then worked his way up to Senior Assistant Director of Public Prosecutions. In 1996, he took silk, and in February 2001 left the Department of Justice for private practice. Andrew is the co-author of Criminal Evidence in Hong Kong, and the author of Criminal Procedure: Trial on Indictment He was also the author of the chapter on criminal law and procedure in Halsbury's Laws of Hong Kong. He has also lectured extensively on criminal law both in Hong Kong and in Macau.

He has been counsel in appeals in the Privy Council, Court of Final Appeal and the Supreme Court of Fiji. Between mid-August 2016 and the end of September 2016 he sat in the High Court of the Hong Kong special administrative region as a deputy judge of
the High Court.

  1. Introduction

    • The dual regime of Parts XIII and XIV of the SFO
    • The Market Misconduct Tribunal (MMT)
      • procedure
      • orders
      • appeals
    • The Criminal Courts
      • summary
      • indictment
      • penalties
      • appeals
    • The Role of S.213 SFO
      • a third way?
      • The Tiger Asia case
      • The Hontex case

  2. Insider Dealing

    • Forms of insider dealing
    • Parallel provisions of Sections 270 and 291
    • SFC approach
    • Prosecutions
      • Du Jun
      • Lam & Fong
      • Ma Hon Yeung and others
      • Pablo Chan Pak Hoe
      • Law Kwong Yu
    • MMT case
      • COLI
      • Mirabell
      • Chaoda Modern Agriculture

  3. Defences to insider dealing

    • Sections 271 and 292
      • the use of information barriers
      • innocent agents
      • information equality
      • market facilitation
      • onus of proof

  4. Market Misconduct Offences

    • Forms
      • False Trading (Ss 274 & 295)
      • Price Rigging (Ss 275 & 296)
      • Disclosure of false or misleading information inducing transaction (Ss 277 & 298)
      • Stock market manipulation (Ss 278 & 299)
      • Offence involving fraudulent or deceptive devices (S 300, SFO)
      • Note also: conspiracy to defraud
    • Prosecutions
      • Mo Yuk Ping v HKSAR
      • Fu Kor Yuen Patrick and other v HKSAR
      • Tsoi Bun
      • Vong Tat-Ieong David
      • Pan Hung
    • MMT cases
      • QPL Holdings Ltd.
      • Sunny Global Holdings Ltd.
    • Defences
      • The Fu case (above)

  5. Other Matters

    • No "double jeopardy" (Ss 283 & 307)
    • Extraterritoriality of certain provisions
    • Civil liability for market misconduct or criminal offence (Ss 281 & 305)
    • Disclosure of Inside Information: Part XIVA of the SFO
      • statutory obligation of list corporations to disclose price sensitive information in a timely manner
      • Civil sanctions only

Category: Regulatory & SFC Compliance
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