(3 CPD points being applied for)
| Speakers | : | Mr. David Ho Sai Kwan |
| Date | : | 6th October 2016 (Thu.) |
| Time | : | 03:00 p.m. – 06:00 p.m. |
| Venue | : | 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) |
| Language | : | Cantonese |
| Fee | : | 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 $300 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 2015-2016 membership fee and/or the subscription fee, as the case may be, the course fee of HK$800 shall be waived.
Remarks:
- The yearly membership fee of HK$300 applies to the period from 1st November 2015 to 31st October 2016.
- 3 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 2016 (Mon.), your registration herein is/ will be considered as unsuccessful.
- 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 29th September 2016 (Thu.) 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
SAMLAW is committed to preserving the confidentiality of your personal data collected during your application for membership and to be collected from time to time through our communication with you as our member. SMALAW will continue to use your personal data collected and to be collected from time to time in our communication for all purposes as set out in the Constitution of SAMLAW already agreed by you in your application for SAMLAW membership. Should you find the above use of your personal data not acceptable, please inform us with your name 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 , with Subject: “Opt-out reply to Notice of Use of Personal Data"
Attachement:“Fundamentals of Securities, Futures and Corporate Finance”