What You Need to Know About Insider Dealing and the Legal Implications for Senior Management (Webinar)

  • Friday 17 Jun 2022

  • 2.30 pm – 4.30 pm

  • English

  • Webinar session. No physical attendance is required.

  • HKCGI Member, Graduate, Student, Affiliated Person & Non-Member


  • Ms Emily Lam, International Counsel, Debevoise & Plimpton HK
  • Ms Allison Lau, Associate, Debevoise & Plimpton HK


Insider dealing, as a form of market misconduct, continues to be one of the SFC’s main areas of enforcement in recent years. It is, therefore, important to understand what constitutes “insider dealing” under the Securities and Futures Ordinance, the legal consequences for violation and the duties of officers of Hong Kong companies in this context. This webinar aims to serve as a reminder to governance professionals of the insider dealing legislation, with discussion on recent enforcement cases.

The implications for senior management, including company secretaries, of listed companies will be examined in view of the enhancements to the Hong Kong Stock Exchange’s disciplinary powers and sanctions following the consultation conclusions on the same topic issued in May 2021.

In addition, the duties and responsibilities of senior management of licensed corporations under the SFC regime will also be discussed.  

Specific topics covered by this webinar: 

  • An overview of market misconduct activities under the SFO
  • Key elements of insider dealing 
  • The sanctioning regime and possible defences to an insider dealing allegation
  • HKEX’s extended disciplinary powers and sanctions and what they mean for senior management
  • Senior management’s duties and responsibilities under the SFC regime
  • Case studies and practical tips

Level: Intermediate

Speakers' bio:
Ms Emily Lam
Ms Allison Lau

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.

Got Questions?

Visit our FAQs or contact the Professional Development Section: 2881 6177 or email: cpd@hkcgi.org.hk

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