Please join Julia Charlton for a webinar on insider dealing at 4:30 to 6:00 pm HKT on 12 October 2026.
The webinar is accredited with 1.5 CPD points by The Law Society of Hong Kong.
Level: Beginner
Webinar Objective:
The webinar will provide an overview of Hong Kong’s insider dealing regime under the Securities and Futures Ordinance (SFO), including the conduct that constitutes insider dealing, the elements of the offences, the available defences, and the civil and criminal consequences of insider dealing.
About the Webinar
The webinar will cover the following topics:
- The civil and criminal market misconduct regimes under Parts XIII and XIV of the SFO
- The seven circumstances constituting insider dealing
- Key definitions: “listed securities”, persons “connected with” a listed company and “related corporations”
- What is “inside information”– “specific information”, “not generally known” and “likely to materially affect price”
- Chinese walls and other statutory defences
- The innocent purpose defence and the case of SFC v Yiu Hoi Ying
- MMT proceedings, the standard of proof & potential sanctions
- Criminal penalties
- Investor compensation under section 213 SFO
- Proposed territorial extension of the insider dealing regime
- SFC’s Market Sounding Guidelines
- Recent cases including MMT findings in Dickson Poon / Dickson Concepts case
About the Presenter
Julia Charlton is a Hong Kong and English qualified solicitor and has been practising law in Hong Kong since 1987. She is the founder and a partner of Charltons, a boutique Hong Kong law firm focusing on corporate finance. Julia practises as a corporate finance lawyer and has extensive experience of advising Hong Kong, Chinese and overseas businesses and financial institutions on capital raisings, M&A, investment and business activities in Hong Kong, China and internationally. Her practice areas include Hong Kong IPOs, listed companies’ regulatory compliance, capital markets, derivatives, securities law, investment funds, virtual assets, stablecoins, restructuring, private equity and regulatory issues, and general corporate and commercial matters.
- Enrolment is limited – enrolments will be accepted on a first-come-first-served basis.
- Please note that we accept no liability for any non-availability for any CPD Point(s) for any participants whatsoever.
- A confirmation of attendance based on your registration and log in and out details may be sent to you automatically via email shortly after the webinar ends. No other or further confirmation will be provided.
- Please join the webinar from one device only. Using multiple connected devices at the same time may disrupt your attendance record and as a result it may not be possible for a confirmation of attendance to be issued.