2017-10-09 CPD: Fundamentals of Securities, Futures and Corporate Finance

CPD Talk: Fundamentals of Securities, Futures and Corporate Finance

   (3 CPD points being applied for)



Mr. David Ho Sai Kwan



9th October 2017 (Mon.)



03:00 p.m. – 06:00 p.m.



The Chinese General Chamber of Commerce, 7/F., 24 – 25 Connaught Road Central, Hong Kong (MTR Central Station Exit A/ Hong Kong Station Exit C)






Free for SAMLAW members, HK$800 for non-members

Seats are prioritized for SAMLAW members. Enrolments will be accepted on a first-come first-served basis. Please send in a crossed cheque (HK$800 for a non-member and $500 for a newly joined member) payable to “The Small and Medium Law Firms Association of Hong Kong” or “香港中小型律師行協會” (mailing address: Unit A, 7/F, Chun Wo Commercial Centre, No.25, Wing Wo Street, Sheung Wan, Hong Kong.)

For existing and new members who have paid the 2016- 2017 membership fee and/or the subscription fee, as the case may be, the course fee of HK$800 shall be waived.


  • The yearly membership fee of HK$400 applies to the period from 1st November 2016 to 31st October 2017.
  • 2 CPD points being applied for (subject to Law Society’s approval).
  • Confirmation will be sent to the participants once reservation is made.
  • If you have not received an email or sms confirmation on your registration on or before  3rd October 2017, your registration herein is/ will be considered as unsuccessful.
  • Please take note of SAMLAW Bad Weather Policy http://samlaw.hk/lastnews/178-important-notice-samlaw-bad-weather-policy.html
  • Should there be any dispute, SAMLAW’s decision shall be final.

For interested members/ fellow lawyers, please fax the reply slip to 3157-0856 or by email: Email住址會使用灌水程式保護機制。你需要啟動Javascript才能觀看它 on or before 30th September 2017 for registration.

Course Outline:

-  Regulatory Overview of the Hong Kong Financial Industry

-  The Securities and Futures Ordinance (“SFO”)

-  Licensing and Subsidiary Legislation

-  Business Conduct and Client Relations

-  Business Operations and Practices

-  Other SFC Regulated Activities

-  Market Misconduct and Compliance

-  Q&A

20171009 Fundamentals of Securities, Futures and Corporate Finance