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03
Jan 2018
(Wed)

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

Subject
Investment Management
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Date & time
03Jan 2018 (Wed)19:00 - 20:00
Venue
Room 311, 3/F, Admiralty Centre, 18 Harcourt Road, Hong Kong (Exit A, Admiralty MTR Station)
Fee
Free Admission
Speaker
  • 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.

Enquiry
Enquiry: Ms Chu / 2867 8312 (ecaml@hkuspace.hku.hk)
Remarks

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