The Hong Kong Securities and Futures Ordinance (SFO) came into effect on 1 April 2003. Under Parts XIII and XIV of the SFO, Insider Dealing is a type of Market Misconduct in Hong Kong that is subject to the dual civil and criminal regimes under the laws of Hong Kong.
This training cover key areas below:
- summarizing the legal definitions of insider dealing under the SFO
- providing examples of inside information and practical measures in preventing insider dealing
- explaining details of over 10 recent insider dealing cases and enforcement actions in Hong Kong and overseas to enhance compliance awareness on this area
- explaining defences to Insider Dealing charges available under the SFO
To complete the training, you are required to answer 10 questions in the Assessment Test at the end of the training and have 6 questions answered correctly. Prior to taking the Assessment Test, you must watch the entire training video. Failure to do so may lead to cancellation of your Certificate of Completion.
**Please note that you are required to create an account with Thinkific, our Learning Management platform. Your Certificate of Completion will be issued using the name used to create the account. Therefore, please ensure that your official name is used when creating the account on Thinkific.**
For any queries, please email us at [email protected]. Thank you.