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2011-10-18
Insider Dealing and Other Market Misconduct under the Securities and Futures Ordinance

Event Details:

Speakers :

Ms. Amy Yu, associate in the Hong Kong office of Latham & Watkins

Ms. Viola Jing, associate in the Hong Kong office of Latham & Watkins

Date : 18 October 2011 (Tuesday)

Time : 7:00pm - 8:30pm (Registration starts at 6:30pm)

Venue : Auditorium, 1/F., Duke of Windsor Social Service Building, 15 Hennessy Road, Wanchai, Hong Kong

Language : Cantonese (no simultaneous translation)

CPD Credit : 1.5 hours

Fee : HK$100**

** Fees collected will be utilized to fund events and activities for development of the accounting profession.

About the seminar:

This presentation aims to provide an overview of the regulatory regime under Securities and Futures Ordinance. It will include discussions of topics including the elements of insider dealing and other market misconduct as both the criminal offence and civil wrong and provide some practical steps for listed companies and financial institutions to guard against market manipulation risk. It will also discuss certain recent case law developments on the subject.

About the speakers:

Ms. Amy Yu is an associate in the Hong Kong office of Latham & Watkins and a member of the Corporate Department. Her practice focuses on a broad range of corporate finance transactions such as capital markets, initial public offerings, mergers and acquisitions and takeovers. In addition, she is experienced in advising various Hong Kong-listed companies on Listing Rules, post-listing and other regulatory compliance matters. Ms. Yu was admitted as a solicitor in Hong Kong in 2005. Prior to joining Latham & Watkins, she was an associate at the Hong Kong office of Skadden, Arps, Slate, Meagher & Flom.

Ms. Viola Jing is an associate in the Hong Kong office of Latham & Watkins and a member of the Litigation Department. Ms. Jing practises civil and commercial litigation. She has acted for high net-worth individuals, private and public companies in monetary claims and other civil matters, including shareholders / directors disputes, debt recovery actions, defamation and applications under the Companies Ordinance. She has experience in arbitrations and mediations, and advises clients on the enforcement of judgments, orders and arbitral awards. She also advises clients on general commercial, regulatory, employment, corporate insolvency and bankruptcy matters and has experience in attending companies winding-up and bankruptcy proceedings. Ms. Jing was admitted to practice in Hong Kong in 2009. Prior to joining Latham & Watkins, she was an associate at the Hong Kong office of Stephenson Harwood.


Enrolment:

1) Those interested are requested to register on-line by filling in the attached enrolment form. Acceptance will be on a first-come-first-served basis.

2) Successful enrolments will be confirmed by email. Unsuccessful applicants will be automatically placed on waiting list; they will be called up in the order of time of receipt of registration when vacancies arise.

3) Applicants may check their registration status using the same membership number of their professional affiliation when they register.

Payment:

1) After receiving our Confirmation, you can either pay cash or cheque for admission at location.

2) If pay by cash, please present the Confirmation with your cash payment when you attend the seminar.

3) If pay by cheque, please make cheque payable to Accounting Development Foundation Limited. Write down your name and Enrolment ID number on the back of the cheque and submit it with the Confirmation when you attend the seminar.


Seat Accommodation:

Please note that seats accommodation for accepted participants will be reserved until 15 minutes after the seminar starts. Seats may not be available for participants who are late for over 15 minutes.

CPD Hours:

For those participants who have not attended the full session, the number of CPD hours will be discounted according to the actual time of attendance. Completed CPD hours will be granted to attendees who have attended the full session. For the exact recognition of the CPD hours, please check with the respective Institute or Association.

Organizer:

Accounting Resources Centre (ARC)

CPD Requirements: Our seminars can fulfil CPD requirements. As professional bodies would not formally endorse the seminars we provide, it does not mean that the events we organize do not meet the CPD purpose. Registrants should note that you are responsible for determining whether our seminars or any event satisfy your CPD requirements i.e. that the training you receive are of appropriate standard and relevance to your maintaining and enhancing the technical knowledge and professional expertise. If necessary, please check with your respective professional body before registering our seminars. ARC does not warrant that the attendance of our seminars or events would automatically be recognized by the respective professional bodies as fulfilling your CPD requirements.



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