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Course Details

(Webinar via ZOOM) Regulatory Update - Insider Dealing
Donald Lai, Manager - Enforcement Division (Investigation), Securities and Futures Commission
Date: 15 July 2020 (Wednesday)
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: L20SF09
Venue: Webinar Course
Presenter's Biography:

Donald is a solicitor, certified public accountant and chartered company secretary. He spent most of his career in the SFC, starting off in the Intermediaries Supervision Department in 2006 and rejoined the Enforcement Division in 2014. In his capacity as an investigator in the Enforcement Division, Donald is specialized in insider dealing and market misconducts investigations. After earning his first degree in business administration in Canada, Donald obtained a part-time LLB degree with first-class honours at the City University of Hong Kong. In 2017, Donald completed the LLM program in Corporate and Financial Laws and graduated with distinction from the University of Hong Kong. Donald specialises in securities laws and is a contributor to the 2018 and 2019 editions of the SFO: Commentary and Annotations.
 
Objective:

This seminar will refresh the understanding of the legal framework governing insider dealing under the Securities and Futures Ordinance (Cap.571) by reviewing recent cases on insider dealing and SFC's investigative powers. On a practical level, the seminar shares effective internal control procedures against insider dealing.
 
Outline:

  • What did SFC do in 2018 and 2019 in relation to insider dealing?
  • Insider dealing regime under the SFO
  • Insider Dealing cases and their implications
  • Updated cases on SFC investigative power
  • Global update on insider dealing
  • Practical internal control procedures against insider dealing

 
Category: Regulatory & SFC Compliance
Course Booking Terms & Conditions

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