Regulatory & SFC Compliance

  • Mis-selling

    Since the 2008 Global Financial Crisis, handling complaints by banking or broking clients who lost money from investments has become a focus of financial regulators, and Courts have also dealt with a number of cases brought by such clients. This seminar will give practical, legal and regulatory perspectives on issues related to dealings with banking/broking clients who make investments through their accounts, by reference to different stages of client relationships.

     

    15 Aug, 2016

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  • Notifiable Transactions Listing Rules: Chapter 14

    The purpose of Chapter 14 of the Listing Rules is to provide shareholders of listed companies and the general public timely disclosure of relevant information so that the public and the investors are kept fully informed of information which is necessary for them to appraise the position of the listed group. It will also provide an opportunity for them to participate in major corporate decisions. This course will provide an in-depth and detailed analysis of the current requirements in Chapter 14 of the Listing Rules by way of flowcharts and examples.

    22 Oct, 2016

    Courses
    Course details

  • Notifiable Transactions Listing Rules: Chapter 14

    The purpose of Chapter 14 of the Listing Rules is to provide shareholders of listed companies and the general public timely disclosure of relevant information so that the public and the investors are kept fully informed of information which is necessary for them to appraise the position of the listed group. It will also provide an opportunity for them to participate in major corporate decisions. This course will provide an in-depth and detailed analysis of the current requirements in Chapter 14 of the Listing Rules by way of flowcharts and examples.

    22 Apr, 2017

    Courses
    Course details

  • Notifiable Transactions Listing Rules: Chapter 14

    The purpose of Chapter 14 of the Listing Rules is to provide shareholders of listed companies and the general public timely disclosure of relevant information so that the public and the investors are kept fully informed of information which is necessary for them to appraise the position of the listed group. It will also provide an opportunity for them to participate in major corporate decisions. This course will provide an in-depth and detailed analysis of the current requirements in Chapter 14 of the Listing Rules by way of flowcharts and examples.

    25 Nov, 2017

    Courses
    Course details