AIMA HK: December Fund Manager Briefing - Regulatory pitfalls of investment trading activities
AIMA invites you to join our breakfast briefing on Tuesday, 10 December 2019.
Join us for a discussion of the latest news in the investment trading activities.
This breakfast briefing will give an overview of key regulatory requirements and recent enforcement actions for investment trading activities, including:
- Insider dealing
- Short sales and position limits
- False trading, price rigging, disclosure of false or misleading information and stock market manipulation
- Best execution, order allocation and cross trades
- Proprietary trading and personal account dealing
- Disclosure of interests
- Electronic and algorithmic trading systems
- Other trading, reporting and record keeping obligations
- Jeremy Lam, Partner and Head of Financial Services Practice, Deacons
- Jane McBride, Partner and Head of the Licensing, Compliance and Regulatory Team, Deacons
CPD accreditation will be available.
If you have any questions for the speakers, please email [email protected]