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HKEx Regulation - An Introduction

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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
You have permission to post this, email this, print this, copy this for fair use as long as you make no changes or edits to its original contents or digital format.

Disclaimer
This course should be used as a guide only and 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 course.

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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
  • Knowledge Check – SFC Rules and Regulations
  • Knowledge Check – Exchange Operator Rules and Regulations
  • Trading Principles - Prohibited Conduct
  • General conduct obligations and market manipulation
  • 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
  • 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
  • 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 – Code of Takeovers
  • Knowledge Check – Offer Period Disclosures
  • Alternative Liquidity Pools
  • Current Developments
  • Anticipated Changes
  • Knowledge Check – Alternative Liquidity Pools
  • Management, Supervision and Internal Controls
  • Code of Conduct
  • Guidelines – Overview
  • 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 certification with a duration: 1 year