Sponsor’s Due Diligence and Case Studies

Sponsor’s Due Diligence and Case Studies

概要

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.

宗旨

This course provides: 
1. An introduction to the standards and guidance provided by the HKEx and SFC on the sponsor's due diligence procedures in respect of a listing application; and 

2. The case studies on this topic.

內容

1. Practice Note 21 of the Listing Rules
2. Paragraph 17 of the Code of Conduct for Persons Licensed by or Registered with the SFC
3. SFC's Reports on Sponsor Inspection Findings in 2011 and 2018
4. Work required before submitting a listing application
5. Disclosure in the prospectus
6. Due diligence
7. Interview practices
8. Communications with regulators
9. Proper records
10. Resources, systems and controls
11. Annual assessment of systems and controls
12. Case studies

對象

Individuals who are sponsors and those who are interested in this topic.

導師/講者

溫國良
溫國良律師專長于香港上市業務(IPO)。溫律師現時在一家香港五大IPO律師事務所擔任合夥人。從2015年至今,溫律師以保薦人及包銷商律師的身份參與超過20個香港成功上市項目。 溫律師取得英國萊斯特大學一級榮譽法律學位。溫律師分別取得香港律師資格和英國律師資格。 溫律師積極參與了香港聯交所的2018年上市改革。在諮詢期間,溫律師代表了14家投行、券商和銀行業界人士,起草并遞交了對香港聯交所諮詢文件的回應。

詳情

活動編號
TPRCR18007001
日期及時間
2018年11月22日, 星期四 (6:30下午 - 9:30下午)
地點
香港證券及投資學會培訓中心
語言
廣東話
級別
Advanced
課程時數
SFC:3.00, PWMA:3.00