Compliance, Legislative & Regulatory Standards
[Webinar] SFO Refresher Course - IPO Sponsors in Hong Kong
This course aims to explore the role and regulation of sponsors engaged in public offerings in Hong Kong, and it also covers the inter-related topics of sponsor work in practice and ethics.
The course aims to clarify the HKEx rules when dealing in securities market in HK.
1. Background to the sponsor regulatory regime
2. Equity capital markets in Hong Kong
3. The role of the sponsor
4. Licensing and registration requirements (principals and representatives)
5. HKEx’s Listing Rules and the IPO process
6. Recent SFC enforcement cases
Who should attend
This is a refresher course designed for individuals who are highly experienced in due diligence as referred in Option 2 of the Sponsor Guidelines and licensed individuals involved in equity corporate finance and equity capital markets work.