Compliance, Legislative & Regulatory Standards

Due Diligence in an Equity Offering Process


Due diligence is an important step in the equity offering process. It is the analysis of current financial position and future prospects of the company prior to its flotation.


1. The Equity Offering Process
- summary of key events
- project organisation /internal tasks documentation /due diligence
- offering structure /marketing
- key success factors for an equity offering
- underwriting fees and expenses
- key timetable
- key qualifications for listing on the local exchange
- HK IPO case sharing

2.Due Diligence Process – regulatory requirements in Hong Kong
- what is due diligence
- types of due diligence
- parties involved
- preparation for the due diligence process
- expected results of a good due diligence
- real life case sharing

Who should attend

This course is primarily targeted to those practitioners who will be or are involved in the equity offering process or in the execution of due diligence.

Speaker/Course Instructor

Mr. Poon has been working in the financial and securities field for more than 26 years. He has extensive and substantial experience in listing regulatory, governance, and investment banking field. He had also lead-managed a number of sizable Main Board and Growth Enterprise Market of The Hong Kong Exchanges and Clearing Limited equity transactions. Mr. Poon holds a master degree in international accounting, a postgraduate certificate in laws, a bachelor degree in laws and a bachelor degree in business studies. He is a fellow member of CPA Australia, the Institute of Chartered Secretaries and Administrators, The Hong Kong Institute of Chartered Secretaries and Hong Kong Securities and Investment Institute. He is also a director of certain listed companies. He had been an independent non-executive director of the first listed H shares company.


Date & Time
Wednesday, 25 Apr 2018 (6:30PM - 9:30PM)
HKSI Institute Training Centre
SFC:3.00, PWMA:3.00