Online Training on Insider Dealing Compliance Issues and Cases (2024 edition)

The Hong Kong Securities and Futures Ordinance (SFO) has been in effect since April 1, 2003. Parts XIII and XIV of the SFO categorize Insider Dealing as a form of Market Misconduct in Hong Kong subject to both civil and criminal penalties under Hong Kong law.

This training program covers several key areas:

1. Summarizing the legal definitions of insider dealing as outlined in the SFO.
2. Providing examples of inside information and practical measures for preventing insider dealing.
3. Discussing over 10 recent insider dealing cases and enforcement actions in Hong Kong and other countries to enhance compliance awareness in this area.
4. Explaining the defenses available against Insider Dealing charges 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.