(3 CPD points being applied for)
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Speaker |
: |
Mr. David Ho Sai Kwan |
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Date |
: |
9th October 2017 (Mon.) |
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Time |
: |
03:00 p.m. – 06:00 p.m. |
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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) |
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Language |
: |
Cantonese |
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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 $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.
Remarks:
- 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