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Course Details

(Webinar via Zoom) Regulatory Update - Insider Dealing
Donald Lai, Contributing Editor to Securities and Futures Ordinance (Cap 571): Commentary and Annotations (2019 Edition)
Date: 29 November 2022 (Tuesday)
Time: 2:30pm - 5:45pm
Level: I (Intermediate)
For delegates who have prior knowledge of the subject area
Language: English
Fee: HK$ 1,800
Accreditation: 3 CPD pts (Accredited by The Law Society of Hong Kong)
Ref: L22SF07
Venue: Webinar Course
Presenter's Biography:

Donald is a solicitor, certified public accountant and chartered company secretary. Before working as a regulatory legal counsel of a financial institution, he was a veteran regulator. Donald earned two undergraduate and two post-graduate degrees in accounting and law from universities in Canada, Hong Kong, and the UK. Donald specialises in securities laws. He was a part-time lecturer at Baptist University responsible for teaching "Securities Regulation" to post-graduate students. He is one of the contributing editors of the 2018 and 2019 editions of the SFO: Commentary and Annotations.
 
Objective:

This seminar will refresh the understanding on the legal framework governing insider dealing under the Securities and Futures Ordinance (Cap.571). By reviewing the recent cases on insider dealing and SFC's investigative powers, this seminar provides a regulatory update on the recent development on insider dealing.
 
Outline:

  • Insider dealing regime under the SFO

  • Insider Dealing cases

  • 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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Upcoming Courses
29 November 2022 (Tue)
2:30pm - 5:45pm
(Webinar via Zoom) Regulatory Update - Insider Dealing
[L22SF07]
30 November 2022 (Wed)
2:30pm - 5:45pm
(Webinar via ZOOM) Recent Developments in Company Law
[L22CC17]
9 December 2022 (Fri)
2:30pm - 5:45pm
(Webinar via ZOOM) Introduction of Cybercrime in Hong Kong
[L22CL04]
13 December 2022 (Tue)
2:30pm - 5:45pm
(Webinar via Zoom) Professional Liability
[L22OT26]
14 December 2022 (Wed)
2:30pm - 5:45pm
(Webinar via ZOOM) When is a trust not a trust?
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15 December 2022 (Thu)
2:30pm - 5:45pm
(Webinar via Zoom) The Social and Economic Values of Hong Kong Notarial Services
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16 December 2022 (Fri)
2:30pm - 5:45pm
(Webinar via ZOOM) Administrators, Executors and Beneficiaries of an Estate: Powers, Responsibilities and Topical Issues
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11 January 2023 (Wed)
2:30pm - 5:45pm
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16 January 2023 (Mon)
2:30pm - 5:45pm
(Webinar via Zoom) Connected Transaction
[L23CF01]
17 January 2023 (Tue)
2:30pm - 5:45pm
(Webinar via Zoom) Oaths, Affidavits and Declarations: Local and Foreign Issues
[L23OT01]
18 January 2023 (Wed)
2:30pm - 5:45pm
(Webinar via Zoom) [RME elective] Cybersecurity and the Law Firm
[L23OT02]
19 January 2023 (Thu)
2:30pm - 5:45pm
(Webinar via Zoom) Practical aspects of SFC Investigation
[L23SF01]

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