Hong Kong Market Misconduct

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Conversations on Compliance

Hong Kong Market Misconduct

“Conversations on Compliance” is a video series featuring our two hosts, Jessica and Dave, as they explore a range of regulatory topics. Each course comprises three lessons with a deep dive on a specific regulatory topic, along with associated case studies and quiz questions. Completing the course and associated quizzes should take approximately one hour.

This course is a deep dive into Hong Kong’s Market Misconduct Regime. Over three lessons, we cover: (1) an overview of the Market Misconduct Regime, (2) false trading and price rigging, and (3) stock market manipulation and disclosure of false or misleading information.

Suggested Credit: 1 Hour

Introduction to Market Misconduct in Hong Kong

Definition of Market Misconduct
- Civil Liability under the MMT
- Criminal Liability
- Private Right of Action
- Duty of Officers
- Case Study – SFC v Wong Kwun Shing
- Case Study – Tiger Asia Management Insider Dealing
False Trading
- Elements of the False Trading Offence
- Case Study – China AU Group Holdings
Price Rigging
- Elements of the Price Rigging Offence
- Case Study – VST Holdings Limited
Stock Market Manipulation
- Elements of the Stock Market Manipulation Offence
- Case Study – Ching Lee Holdings Limited
Disclosure of Information about Prohibited Transactions
- Elements of the Offence
Disclosure of False or Misleading Information Inducing Transactions
- Elements of the Offence
- Case Study – Qunxing Paper Holdings

Relevant Jurisdictions

Hong Kong

Let’s get started

Conversation – HK Market Misconduct Overview Quiz – HK Market Misconduct Overview Conversation – False Trading and Price Rigging Quiz – False Trading and Price Rigging Conversation – Market Manipulation and False Disclosures Quiz – Market Manipulation and False Disclosures