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Course: Securities and Futures Markets: Part 1 - Regulatory Framework and Investor Protection
Code: LP03_C36
Duration: 3 hours
CPD Credit: 3 CPD Points
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The Securities and Futures Ordinance (SFO), enacted on 13 March 2002, consolidates the 10 existing ordinances regulating the securities & futures markets, which were written about 30 years ago. This course is about the new
SFO, which came into operation on 1 April 2003.
This Course consists of 3 Lessons:
In the first Lesson, Regulation of Intermediaries, you will learn:
In the second Lesson, Marketing and Trading of Securities, you will learn:
In the third Lesson, Exchange Operations in Hong Kong, you will learn:
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Peter Tashjian
Peter Tashjian is Managing Director of the Institute of Professional Development (IPD), a commercial education and consultancy provider dedicated to practical education and training for executives and professionals in general, and those working within the legal and financial services industries in particular.
Peter is the former CEO of the Hong Kong Institute of Company Secretaries (HKICS), a professional body which promotes good corporate governance in Hong Kong and China as the territorial arm of the Institute of Chartered Secretaries and Administrators (ICSA).
Publication credits include developing and editing Hong Kong Company Secretarial Practice Manual in 1999 (Thomson), and co-authoring Regulatory Framework of Finance and Banking in Hong Kong in 1993 (Longman).
Peter has a BS in Business from Bentley College (1978), JD in Law from New England School of Law in Boston (1982) and a MIM in Management from the American Graduate School of International Management (1984), and has been teaching Law to students and practitioners, since 1985 – full time at the Papua New Guinea University of Technology (1985-1990) and City University of Hong Kong (1990-1996) and part-time at the University of Hong Kong (1990-2001). Peter is also an adjunct professor for the Australian Graduate School of Management MBA program, and legal seminar presenter for IPD and Mind Theme Legal in Hong Kong.
Howard Finger
Solicitor, Oldham, Li & Nie
Howard Finger is one of the most experienced e-commerce practitioners and consultants working in the international market and is a sought-after speaker and corporate adviser. He qualified in England and was a Partner in Robert W.H.Wang in Hong Kong before joining and achieving the position of Senior Vice President at Global Sources (NASDAQ: GSOL) and is currently CEO of e-Learning and CPD Online pioneer of VinciWorks Limited. He graduated with honors from the City of London Polytechnic with a Bachelor's degree in Business
Law.
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