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NEWS    |    ACTIVITIES
2013-05-07
Insider Dealing

All proceeds without deducting any expenses will be donated to Oxfam to help the Sichuan Ya'An prefecture earthquake relief.

Event Details:

Speaker : Mr. Louis Chow, Vice-Chairman, Accounting Resources Centre

Date : 7 May 2013 (Tuesday)

Time : 7:00pm - 9:00pm (Registration starts at 6:15pm)

Venue : 4/F, Ming Hua Hall, St. James' Settlement, No. 85 Stone Nullah Lane, Wanchai, Hong Kong (Please click here to see the map.)

Language : Cantonese (no simultaneous translation)

CPD Credit : 2 hours

Fee : HK$100

About the seminar:

Under the Securities and Futures Ordinance, insider dealing is a criminal and civil offence. In this seminar, the speaker will highlight the key issues relating to insider dealing, including the definition of “insider dealing”, the situations in which persons will not be held as insider dealers and the authority of the Market Misconduct Tribunal.

Course Content

• Definition of insider dealing

• Relevant information and person connected with a corporation

• Exemptions

• Market Misconduct Tribunal

• Penalties

About the speaker:

Mr. Chow is the Managing Director and Head of Hong Kong Compliance of an investment bank. He is a qualified accountant by profession and has more than twenty years’ securities regulatory compliance experience having worked at the Compliance Division of the Hong Kong Stock Exchange, the Enforcement Division of the Securities and Futures Commission (“SFC”), and the Legal and Compliance Department of investment banks. Mr. Chow is a Fellow Member of the Association of Chartered Certified Accountants and the Hong Kong Institute of Certified Public Accountants, a Member of the Hong Kong Securities and Investment Institute, and a Member of the American Association of Certified Fraud Examiners. He is a testified securities expert witness, a Member of the SFC’s Products Advisory Committee, a member of the HKICPA’s Continuing Professional Development Advisory Panel, and Adjunct Associate Professor of the Division of Business and Management of the Beijing Normal University-Hong Kong Baptist University, United International College.


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.

Bad Weather Arrangement:

The event may be cancelled or re-scheduled when typhoon no.8 or black rainstorm warning is hoisted. Please refer to our web site www.ARCentre.hk for the arrangement.

Co-organizers:

Accounting Resources Centre

The Society of Chinese Accountants & Auditors Charitable Trust

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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