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.

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 Primary Markets & 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 Education & Development Committee.


Date & Time
Wednesday, 17 Mar 2021 (6:30PM - 9:00PM)
Thursday, 18 Mar 2021 (6:30PM - 9:00PM)
Virtual Platform
Relevant Subject
Type 6 - Advising on corporate finance - Sponsor
Type 6 - Advising on corporate finance
Regulatory Compliance
Trad. Chi / Cantonese
SFC:5.00, PWMA:5.00