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Insider Dealing

This seminar will be opened for enrolment on 17 February 2016 at 11:00am. The "Login to Enrol" button is NOT available before 17 February at 11:00am.

Event Details:

Speaker : Mr Sherman YAN, Managing Partner, Head of Litigation & Dispute Resolution, ONC Lawyers

Facilitator : Mr Albert LAW, President, the Institute of Accountants in Management

Date : 29 February 2016 (Monday)

Time : 7:00pm - 9:00pm (Registration starts at 6:30pm)

Venue : Ming Hua Hall, 4/F., 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:

Company executives, board members and professionals who operate in the securities and futures markets often come across information which may be price sensitive. When will a piece of information become "inside information"? What is the ambit of using such information? Who is an insider? What should the insider do or refrain from doing? When may one get implicated in an "insider dealing" allegation? What actions may lead to liability? Would it make any difference if the person who deals in shares is not an "insider"? What are the possible defences for insider dealing? This course will address these questions as well as the implications of some recent cases.

Highlights of the seminar include:

- Legislative overview

- Insider Dealing Tribunal / Market Misconduct Tribunal / criminal courts

- What is insider dealing?

- Who are insiders?

- What is relevant information?

- What amounts to dealing?

- What constitutes listed securities?

- Analysis of cases and the SFO to look for exceptions and defences

- Investigation & how to deal with it

- Civil sanction or criminal prosecution?

- Who institutes?

- Consequences?

- Disciplinary proceedings

- Case law updates

About the Speaker:

Sherman is the Managing Partner and Head of Litigation & Dispute Resolution Department of ONC Lawyers. He handles all types of complex commercial disputes, especially those involving listed company shareholders, as well as investigations, disciplinary hearings and prosecutions relating to the Securities and Futures Ordinance, in addition to his shipping practice.

Sherman was appointed an arbitrator of South China International Economic and Trade Arbitration in 2015 and has been a member of the Civil Litigation Committee of the Law Society of Hong Kong since 2008.

On publications, Sherman is contributor to the “Securities and Future Ordinance (Cap.571): Commentary and Annotations” and “Tort Law & Practice in Hong Kong”, both of Sweet & Maxwell.

CPD Hours:

Completed CPD hours will be granted to attendees who have attended a full session of seminar. For those who have not attended full session, the number of CPD hours will be discounted accordingly. For the exact recognition of the CPD hours, please check with the respective Institute or Association.

Bad Weather Arrangement:

This event may be cancelled or re-scheduled when typhoon no.8 or black rainstorm warning is hoisted. Please refer to our website for the arrangement.


The Institute of Accountants in Management (IAM)


Accounting Development Foundation Limited (ADF)

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. ADF 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.


- This seminar will be opened for enrolment on 17 February 2016 at 11:00am. The "Login to Enrol" button is NOT available before 17 February at 11:00am.

- Only ADF Friends and online enrolment will be accepted. Please make sure that you have registered as an ADF Friend and have your ADF Friend account activated before enrolment.

- You may also click here to read the enrolment procedures.

- Acceptance will be on a first-come-first-served basis.

- The online enrolment is closed. Please email to for any enquiry.

Our server may experience high volume of traffic and cannot process your registration immediately. We are sorry for any inconvenience caused and your kind understanding is highly appreciated.

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