When will a piece of information become “inside information”? Is “inside information” necessarily “price sensitive” information? What are the legal implications for those who are in possession of such information? What should they do and what should they not do? What are the pitfalls? Would it make any difference if the person in possession of the inside information is or is not connected to the corporation? When will a dealing amount to “insider dealing”? What are the possible defences for insider dealing?
This seminar will address these questions as well as the implications of some recent cases in which the defendants’ defence to a charge of insider dealing was accepted or rejected by the Market Misconduct Tribunal or the Court. All these cases will be reviewed and analyzed.
Sherman Yan, Managing Partner, Head of Litigation & Dispute Resolution, ONC Lawyers
Sherman Yan is the Managing Partner and Head of Litigation & Dispute Resolution of ONC Lawyers.
He has many years of experience in handling complex commercial disputes, especially shareholders’ disputes in listed companies and regulatory issues under the Securities and Futures Ordinance. Sherman has frequently acted for listed companies, their shareholders or directors and securities investors in dealing with inquiries and investigations by regulatory bodies such as the Hong Kong Monetary Authority, the Hong Kong Exchanges and Clearing Limited, and the Securities and Futures Commission of Hong Kong. Besides, Sherman is also a member of the Civil Litigation Committee of the Law Society of Hong Kong with extensive experience in handling and reviewing new laws and regulations related to litigation. Academically, Sherman is a contributor to legal textbooks including “Securities and Futures Ordinance (Cap.571): Commentary and Annotations” and “Tort Law & Practice in Hong Kong”, both published by Sweet & Maxwell.
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