Description
Instructor(s)/Supervisor(s)/Coordinator(s): Jessie Agnes Chung Sze FOKThis course seeks to develop students' knowledge and appreciation of the main legal, regulatory and ethical principles underpinning a business/banking environment. It starts by introducing the HK legal system followed by key aspects of Contract law and Company law in Hong Kong. An overview of the HK financial regulatory framework will then be explained, with key market criminal offences, such as insider dealing and market manipulation highlighted. The role of Compliance as the modern gatekeeper of regulatory and ethical standards will be examined and key concepts such as conflicts, disclosure, client classification, KYC, AML, Anti-bribery and CTF explained. Building on these foundations, the course will then explore into conduct issues, ethical leadership, and corporate governance. To ensure the practicality of this course, students will be exposed to agreements and commercial drafting skills as well as to real cases and recent SFC disciplinary sanctions. For FINA/QFIN year 3 and year 4 students only.