Compliance, Legislative & Regulatory Standards

HK IPO: New Listing Requirements, Offering Structures and Application Procedures

New Full


HKEx has recently opened the door to: (1) innovative companies that use non-standard share structures; (2) pre-revenue biotech companies; and (3) companies listed elsewhere seeking a dual-listing in Hong Kong.


This course provides the latest development on this topic and other requirements for listings in Hong Kong.


1. Listing in Hong Kong
2. Delisting from other exchange and listing in Hong Kong
3. Dual listing in Hong Kong (Primary)
4. Dual listing in Hong Kong (Secondary) 
5. Transfer from GEM to Main Board
6. Pre-IPO investors and cornerstone investors
7. Substantial shareholders and controlling shareholders
8. Track record period
9. Ownership continuity
10. Management continuity
11. Lock-up
12. Offering structure 
13. Offer size adjustment option / over-allotment option
14. IPO procedure
15. Team structure chart

Who should attend

Individuals who will be or are involved in the equity offering process or those who are interested in this topic.

Speaker/Course Instructor

Daniel WAN
Mr Daniel Wan specialises in Hong Kong initial public offerings (IPOs). Daniel is a partner at one of the top 5 Hong Kong IPO law firms acting for underwriters in terms of number of successful IPOs. In 2015, 2016, 2017 and 2018, Daniel has acted for sponsors and underwriters in over 20 successful Hong Kong IPOs.

Daniel graduated from the University of Leicester, UK with a first class honours degree in law. He was admitted as a solicitor of the High Court of Hong Kong and the Supreme Court of England and Wales, respectively.

Daniel has taken part in the Hong Kong Stock Exchange's listing reform in 2018. During the consultation process Daniel represented 14 sponsor and other firms and a number of investment bankers to prepare and submit responses to the consultations.


Date & Time
Thursday, 13 Dec 2018 (6:30PM - 9:30PM)
HKSI Institute Training Centre
Relevant Subject
Type 6 - Advising on corporate finance - Sponsor
Type 6 - Advising on corporate finance
Regulatory Compliance
New, Full
Trad. Chi / Cantonese
SFC:3.00, PWMA:3.00