Regulatory & SFC Compliance
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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