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

  • English

  • HKCGI Member, Graduate, Student, Affiliated Person


  • 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

(At the request of speakers, this programme is open to members, graduates and students of HKCGI only.)

(Recorded in June 2022)

Level: Intermediate

Speakers' bio:
Ms Emily Lam
Ms Allison Lau

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