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最新消息 活動預告

03
1月 2018
(星期三)

Finance & Compliance Seminar: Market Manipulation, Surveillance and Anti-Money Laundering

相關學科
投資管理

感謝各位熱烈參與!

以上活動經已圓滿結束,敬請密切留意學院稍後活動。

日期及時間
2018年1月3日 (星期三)19:00 - 20:00
地點
香港金鐘海富中心3樓311室
費用
免費入場
講者
  • Mr. Jason Wong, Managing Principal, GRC Chamber

Mr. Jason Wong, Managing Principal, GRC Chamber

Mr Wong has more than 16 years of working experience and specialises in Governance Risk and Compliance (GRC) services. Jason is an AML specialist who has managed AML review engagements in banking, securities trading/underwriting, assets management, insurance brokerage, money lender and pawn industry in Hong Kong, Macau and PRC. He assisted these businesses in building an effective AML risk assessment, client risk profiling, CDD, transaction monitoring and STR programs. Jason obtained a Finance & Accounting bachelor degree from Ryerson University, Canada, and is an Associate Member of The Association of Certified Fraud Examiner.

查詢
Enquiry: 朱小姐 / 2867 8312 (ecaml@hkuspace.hku.hk)
備註

Language: Cantonese

 


Securities laws principally maintain and protect a fair market which high market efficiency can be achieved. Market Manipulation is an action to create and dissipate false and misleading information to profit based on asymmetric information. This seminar will explore the following issues:

1. Definition & Case Studies of Market Manipulation in HK

2. Disciplinary / Court action & Implication on Money Laundering 

3. Regulatory policies and technology surveillance for preventing market manipulation