[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. 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.

Details

Code

TPRCR21006503

Date & Time

Tuesday, 28 Sep 2021 (6:30PM - 9:00PM)

Thursday, 30 Sep 2021 (6:30PM - 9:00PM)

Venue

Virtual Platform

Relevant Subject

Type 6 - Advising on corporate finance - Sponsor

Type 6 - Advising on corporate finance

Regulatory Compliance

Language

English

Hours

SFC:5.00, PWMA:5.00

Compliance, Legislative & Regulatory Standards