Plus Package Courses

HKEX Regulation - An Introduction


Description
In this 60 minute course (including linked reading) you will cover an introduction to the Hong Kong financial markets, including some of the Rules that govern the Hong Kong Exchange Market.

Copyright
Copyright © MIntegrity. All rights reserved. No part of this learning material may be reproduced, distributed, or transmitted in any form or by any means, including photocopying, recording, or other electronic or mechanical methods, without the prior written permission of the publisher.

Disclaimer
This e-learning content should be used as a guide only and is not meant to replace any specific advice from your employer. Please be sure to take specialist advice if you are in doubt. MIntegrity, its employees and contractors disclaim all and any liability to any persons whatsoever in respect of anything done by any person in reliance, whether whole or in part, on this e-learning content.
Content
  • Introduction – Learning Outcomes
  • MArket Regulation Overview
  • Regulation – Exchange Operator
  • Regulation – Exchange Operator
  • Regulation – Exchange Participants
  • Regulation – China Connect
  • Knowledge Checks – Markets Registration
  • Rules and Regulations
  • SFC Rules and Regulations
  • Market Operator Rules/Procedures
  • Virtual Asset Trading Platform Operators
  • Knowledge Check – SFC Rules and Regulations
  • Knowledge Check – Exchange Operator Rules and Regulations
  • Trading Principles - Prohibited Conduct
  • General conduct obligations and market manipulation
  • HKEX and Listing Rules
  • Market Manipulation - SFO and Rules of the Exchange
  • Insider dealing
  • Market Misconduct – SFC Proceedings
  • Market Manipulation – HKEX Rules
  • Fair and orderly markets
  • Knowledge Check – Insider Dealing – SFC Rules
  • Knowledge Check – Market Manipulation HKEX Rules
  • Knowledge Check – Fair and orderly markets
  • Electronic Trading
  • Responsibility of Orders
  • System capacity
  • Specific Requirements on Internet Trading/DMA
  • Specific Requirements on Algorithmic Trading - Training
  • Specific Requirements on Algorithmic Trading – Risk Management
  • Specific Requirements on Algorithmic Trading – Record Keeping
  • Risk Management – Cyber Security
  • Audit Log and Incident Report
  • Knowledge Check – DMA
  • Knowledge Check – Algorithmic Trading
  • Short selling
  • Short Selling – Requirements
  • Short Selling – SFC Reporting
  • Short Selling - HKEX Reporting
  • Knowledge Check – Short Selling
  • Typhoons and Rainstorms
  • Typhoons and Rainstorms - Definition
  • Typhoons and Rainstorms – Restricted Trading
  • Knowledge Check – Typhoons and Rainstorms
  • Crossing Activity
  • On-Market Share Buy-Back
  • Off-Market Share Buy-Back
  • Crossing Engines
  • Extended Trading Securities
  • Trading Mechanisms
  • Closing Price Calculation
  • Extended Trading Securities – Definition and Regulation
  • Extended Trading Securities - Times and Reporting
  • Knowledge Check – Extended Trading Securities
  • Takeovers, Mergers and Share Buy-backs
  • Regulation
  • Principle Methods
  • General Principles
  • Offer Period Disclosures
  • Pre Bid Due Diligence
  • Knowledge Check – The Takeovers Code
  • Knowledge Check – Offer Period Disclosures
  • Management, Supervision and Internal Controls
  • Code of Conduct
  • Guidelines – Overview
  • Guidelines - AML
  • Guidelines – Management and Supervision
  • Guidelines - Internal Control Framework
  • Knowledge Check - Guidelines – Management and Supervision
  • Governance, Escalation and Reporting
  • Escalation and Self Reporting
  • Disclosure of Inside Information
  • Disclosure of Inside Information – Personal Liability
  • Requirements of the Exchange
  • Knowledge Check – Inside Information
  • Knowledge Check – Safe Harbour
  • Knowledge Check – Personal Liability
  • summary quiz
  • Summary Quiz
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: 1 year