Ethics and Compliance Module 2: Regulatory Framework and Market Misconduct for Financial Industry

(This course introduction in provides Chinese contents only)

Module 2: Regulatory framework and market misconduct for financial industry 

1. Regulatory Overview in Hong Kong
   • SFC Code of Conducts 
   • SFC Internal Control Guidelines
   • Guideline on Anti-Money Laundering and Counter-Financing of Terrorists 
   • Anti-Bribery and Anti-Corruption 
   • Fiduciary Obligations
   • Practical case studies 
2. Market misconduct
3. Key forms of misconduct 
4. Treat Customers Fairly Principle 
5. Recent enforcement cases for banking sector 
6. Recent enforcement cases for insurance sector 
7. Recent enforcement cases for securities sector
8. Red flags of inappropriate behaviour and oversight mechanism