SAMLAW Online CPD Course :
Fundamentals of Securities, Futures and Corporate Finance
(CPD 3 hours / 3 CPD points being applied for)
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Speaker |
: |
Mr. Ho Sai Kwan David |
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Date |
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5/10/2023 (Thursday) |
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Time |
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02:30 – 05:35 p.m. |
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Venue |
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Zoom meeting （Meeting ID and password shall be provided after successful registration） |
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Language |
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Cantonese |
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Fee |
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Free for SAMLAW members, |
Seats are prioritized for SAMLAW members. Enrolments will be accepted on a first-come-first-served basis.
For existing members, the Nov 2022- Oct 2023 membership fee is HK$600.
Newly joined members are required to pay the one-off subscription fee of HK$100 and the said annual membership fee of HK$600. Membership Application Form is attached.
Non-members are required to pay the course fee of HK$1,000 each time.
Payment method: A crossed cheque payable to “The Small and Medium Law Firms Association of Hong Kong” or “香港中律協” (mailing address: Unit A, 7/F, Chun Wo Commercial Centre, No.25, Wing Wo Street, Sheung Wan, Hong Kong).
Remarks:
·CPD 3 hours / 3 CPD points being applied for.
·Confirmation will be sent to the participants once reservation is made, reservation is NOT transferable.
·If you have not received SMS confirmation on your registration on or before 2/10/2023,
your registration herein is/ will be considered as unsuccessful.
·Members who have not registered in advance will NOT be able to obtain any CPD point.
·Should there be any dispute, SAMLAW’s decision shall be final.
How to register for the course:
1. Please submit the online registration form at https://wj.qq.com/s2/13184792/1681/
（Access to the online registration form by scanning the QR code as below）; or
2. By fax the reply slip to 3157-0856; or
3. By email the reply slip to 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 28/9/2023 for registration.
Course Outline:
·IRegulatory 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
