Speaker(s)

• Ms Lisa Chen, Executive Director, Legal Services Division, Securities and Futures Commission
• Dr Jason Ho, Senior Managing Director & Asia Head of FTI Capital Advisors (Panellist)
• Mr Alex Wong, Managing Director & Asia Head of M&A, FTI Capital Advisors (Panellist)
• Ms Tracy Lam, Company Secretary and Deputy General Counsel, Lenovo Group Limited (Panellist)
• Mr Tom Chau FCG HKFCG, Vice-President, HKCGI; Partner, Haiwen & Partners LLP (Chair)

Description

Insider dealing poses a significant threat to the integrity of financial markets, undermining investor confidence and creating an uneven playing field. Understanding the legal framework surrounding insider trading is essential for stakeholders in listed companies, including directors, senior management, and compliance officers. The Securities and Futures Ordinance (SFO) provides the regulatory backbone for maintaining market fairness, and adherence to its provisions is critical for fostering trust and transparency in the securities market.

This seminar will feature a seasoned speaker from the Securities and Futures Commission (SFC) who will provide valuable insights into the nuances of insider dealing, covering essential topics (as stated below) that highlight the importance of compliance and proactive measures:

1. Case Law Evolution
2. Common Misconceptions
3. Responsibilities of Connected Persons
4. Tipping Off Offences
5. Tippee Liability
6. Unsolicited Information

To further enhance understanding and application of these concepts, a distinguished panel of governance, legal, and forensic professionals will engage in discussions on pressing issues related to insider dealing (as stated below) to provide participants with practical insights and real-world examples, helping them navigate the complexities of compliance in various scenarios:

1. M&A Deal Period Trading
2. Chinese Wall Effectiveness
3. Due Diligence Processes
4. Cross-Border Considerations
5. Share Buyback Implications
6. Remedial Actions

This seminar aims to equip participants with the knowledge and strategies necessary to navigate the complexities of insider dealing, ensuring compliance with the SFO and promoting ethical practices within their organisations.

Remarks on this Online Session:

• This is the online session. If you wish to join in person, please click HERE for the physical session.
• Registration will be closed on 27 November 2025 at 5.00pm.
• Once enrolment in this online session is confirmed by the Institute, requests to change to physical session will not be entertained.
• Online session will be delivered via Zoom facility. The Institute has made every effort to ensure that the quality of the internet connection is sufficient for media streaming. Attendees should ensure that they are in an area of stable internet connection with suitable bandwidth as this can affect user’s experience.

Level: Intermediate

Speaker's bios:
Ms Lisa Chen
Dr Jason Ho (Panellist)
Mr Alex Wong (Panellist)
Ms Tracy Lam (Panellist)
Mr Tom Chau (Chair)

Seat guarantee will only be given to HKCGI Fellows and/or Practitioner’s Endorsement (PE) holders if registered 10 clear working days with payment prior to the date of the seminar.