AIMA HK: December Fund Manager Briefing - Regulatory pitfalls of investment trading activities

Hong Kong

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    

 

Speakers:

  • 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 apactraining@aima.org

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