||29 November 2022 (Tuesday)
||2:30pm - 5:45pm
For delegates who have prior knowledge of the subject area
||3 CPD pts (Accredited by The Law Society of Hong Kong)
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.
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.
- 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
||Regulatory & SFC Compliance