Compliance, Legislative & Regulatory Standards
[Webinar] SFO Refresher Course - IPO Sponsors in Hong Kong
Overview
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.
Objective
The course aims to clarify the HKEx rules when dealing in securities market in HK.
Content
1. Background to the sponsor regulatory regime
2. The role of the sponsor
3. Licensing and registration requirements (principals and representatives)
4. The Hong Kong IPO process
5. SFC enforcement cases
Who should attend
This is a refresher course designed for individuals who are highly experienced in due diligence as referred in the Sponsor Guidelines and licensed individuals involved in equity corporate finance and equity capital markets work.
Speaker/Course Instructor
Marcella CHAN
Ms Chan has over 20 years of corporate finance and capital markets experience covering international fund raising transactions, acquisitions, disposals and strategic advisory transactions. She is currently the Head of Corporate Finance & ECM Transaction Management for the AEJ region of a leading global financial services group. She has also worked in several international investment banks and served as a regulator at the Hong Kong Stock Exchange.
Ms Chan possesses a Master degree (Hons) in Mechanical Engineering, Manufacture and Management and a Bachelor degree in Law (Hons). Ms Chan is currently a member of HKSI Institute’s Individual Membership Committee.
Details
Code
TPRCR23006501
Date & Time
Wednesday, 6 Dec 2023 (6:30PM - 9:30PM)
Venue
Virtual Platform
Relevant Subject
Type 6 - Advising on corporate finance
Type 6 - Advising on corporate finance - Sponsor
Regulatory Compliance
Language
English
Hours
SFC:3.00, PWMA:3.00