This training provides an overview of SIX types of market misconduct under the Securities and Futures Ordinance including below with some enforcement cases information:
- insider dealing
- false trading
- price rigging
- disclosure of information about prohibited transactions
- disclosure of false or misleading information inducing transactions
- stock market manipulation
The purpose of this training is to enhance awareness in order to detect and prevent market misconduct. The training will also provide recommendations on compliance controls to be in place.
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.**
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- Step 1: Watch the Training Video
- Step 2: Take Online Assessment (Passing Grade 60%)(Answered 6 questions correctly out of 10 questions)
- Step 3: Complete Course Evaluation (Required by the Law Society of Hong Kong for CPD course, you may skip this part for SFC CPT course)(Please note that overall rating of the Course may be posted on Law Society website)
- Step 4: Download your certificate