Guidelines on Short Selling Reporting and Stock Lending and Client Facilitation (Coming Soon)

Course Introduction: Guidelines on Short Selling Reporting and Stock Lending and Client Facilitation

Unlock the Complexities of Hong Kong’s Short Selling Regulations with Our Comprehensive Online Course

Are you an intermediary, agent, lender, or prime broker operating in the Hong Kong financial market? Navigating the compliance guidelines and regulatory requirements related to short selling reporting, stock lending, and client facilitation can be a daunting task.

Introducing our specialized online course: “Guidelines on Short Selling Reporting and Stock Lending and Client Facilitation.” Designed by industry experts, this course provides a comprehensive understanding of the key compliance and regulatory aspects you need to master to ensure your operations are in line with Hong Kong’s financial regulations.

Key Features:

1. Detailed Explanation of Short Selling Reporting Obligations:
– Understand the reporting requirements for intermediaries and agents involved in short selling transactions.
– Learn how to establish accurate audit trails and promote transparency in the market.

2. Comprehensive Overview of Stock Lending Record-Keeping:
– Explore the record-keeping requirements for stock lenders under Section 5 of the Rules under the SFO.
– Discover the specific records that lenders must maintain and the importance of proper record-keeping.

3. Insights into Client Facilitation Activities:
– Gain clarity on the criteria for determining “short selling orders” and “long sales.”
– Understand the obligations of prime brokers providing settlement and stock borrowing/lending facilities.

4. Emphasis on Regulatory Compliance and Impact:
– Recognize the significance of adherence to compliance guidelines and its impact on the fitness and properness of licensed intermediaries.
– Learn best practices to demonstrate your commitment to regulatory standards and maintain market integrity.

Whether you’re a seasoned industry professional or new to the Hong Kong financial landscape, this course is your gateway to navigating the intricate world of short selling reporting, stock lending, and client facilitation. Enroll now and equip yourself with the knowledge and tools to operate compliantly and confidently in the dynamic Hong Kong market.

Don’t miss this opportunity to enhance your expertise and stay ahead of the curve. Join us today and take the first step towards mastering Hong Kong’s short selling regulations.