Compliance, Legislative & Regulatory Standards

Case Studies for Sponsor's Due Diligence



A sponsor’s primary role is to provide assurance to the Stock Exchange and the market generally that the listing applicant complies with the Listing Rules and other relevant legal and regulatory requirements, and that the listing document provides sufficient particulars and information for investors to form a valid and justifiable opinion of the listing applicant’s shares, financial condition and profitability. In order to do so, the sponsor must conduct sufficient due diligence on the listing applicant and its business to an acceptable level.

This course focuses on providing case studies on the sponsor's due diligence.


By the end of this course, participants will know how the due diligence procedures is applied in real-life situations.


Case studies on the sponsor's due diligence.

Who should attend

Individuals who are sponsors and those who are interested in knowing how to conduct due diligence on listing applicants.

Participants are highly recommended to also enrol in another course: Sponsor’s Due Diligence, to understand the standards and guidance provided by the HKEx and SFC on the sponsor's due diligence procedures.

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, 15 Nov 2018 (12:30PM - 2:00PM)
HKSI Institute Training Centre
SFC:1.50, PWMA:1.50