Compliance, Legislative & Regulatory Standards

[Webinar] Selected Guidance Letters on IPO Related Matters


The Stock Exchange of Hong Kong Limited (the “Stock Exchange”) takes the leading role in regulating companies seeking admission to the Hong Kong markets and supervising those companies once they are listed. It establishes and promulgates rules (the Listing Rules) prescribing listing requirements for listing participants and frequently issues Guidance Letters on listing matters. This course will discuss a number of selected Guidance Letters published by the Stock Exchange for applicants seeking a listing status with focus on suitability for listing, disclosure requirements, timetable, specific industries and pricing.


To enhance understanding on the Guidance Letters and listing rules related to listing applications, as well as the key issues that may arise during the course of assessing and preparing for listing applications.


1. Overview of rules and guidance published by the Stock Exchange related to listing applications
2. Discussion on selected guidance letters
- Suitability for listing
- Disclosure requirements
- Financial information and timetable related
- Specific industries, structures and business models
- Share offer, placing, cornerstone/pre-IPO investors and pricing related


Sponsors, financial advisers, legal advisers, listing applicant officers and other professional practitioners who are involved in the process of listing applications.


Mr. Tai Kwok Leung, Alexander is a member of the Hong Kong Institute of Certified Public Accountants since 1983. Mr. Tai has extensive corporate finance experience in Hong Kong. Mr. Tai is a partner of VMS Securities Group, a licensed corporation under the SFO to conduct Type 1 (dealing in securities), Type 6 (advising on corporate finance) and Type 9 (asset management) regulated activities. Mr. Tai is also independent non-executive director of Jiayuan International Group Ltd., G & M Holdings Ltd., Shengjing Bank Co., Ltd. and AAG Energy Holdings Limited. Mr. Tai was independent non-executive director of Luk Fook Holdings (International) Ltd. and Anhui Conch Cement Co., Ltd.


2021年9月29日, 星期三 (6:30下午 - 9:00下午)
第6類 - 就機構融資提供意見 - 保薦人
第6類 - 就機構融資提供意見
Trad. Chi / 廣東話
SFC:2.50, PWMA:2.50