Regulatory & SFC Compliance

  • Market Misconduct

    This course provides an overview of the various categories of market misconduct provided for under the Securities and Futures Ordinance.

    09 Aug, 2016

    Courses
  • Market Misconduct

    This course provides an overview of the various categories of market misconduct provided for under the Securities and Futures Ordinance.

    02 Nov, 2018

    Courses
  • Market Misconduct and Insider Dealing

    Recent efforts by the SFC in pursuing various forms of market misconduct and other related disciplinary proceedings have led to novel developments across various tribunals and court cases. This seminar will explore the developing jurisprudence and give pointers on how to deal with Market Misconduct investigations, including insider dealing and the potential subsequent disciplinary actions/sanctions.

    07 Jul, 2017

    Courses