2018-08-29 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




29th August 2018 (Wednesday)



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 2017- 2018 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$500 applies to the period from 1st November 2017 to 31 st October 2018.
  • 3 CPD points being applied for (subject to Law Society’s approval).
  • Confirmation will be sent to the participants once reservation is made, reservation is not transferable.
  • If you have not received an email or sms confirmation on your registration on or before 27th August 2018 (Mon.), your registration herein is/ will be considered as unsuccessful.
  • Please take note of our 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 22nd August 2018 (Wed.) 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