[面授研討會] 保薦人的盡職調查及案例研究 2022
概要
保薦人的主要職責是向香港聯交所及市場保證上市申請人符合上市規則及其他相關法律及監管要求，且上市文件載有足夠詳情及信息以便投資者對于上市申請人的股份、財務狀況及盈利能力形成一個有效合理的觀點。為此，保薦人必須對上市申請人及其業務進行充分的盡職調查，達至可接受的水平。
宗旨
本課程提供：
1. 香港聯交所及證監會就上市申請的保薦人盡職調查程序所提供的標準及指引；及
2. 本主題的案例研究。
內容
1. 上市規則第21項應用指引
2. 證監會持牌人或注冊人操守準則第17段
3. 證監會2011年度及2018年度保薦人視察結果報告
4. 提交上市申請前需要完成的工作
5. 招股書的披露
6. 盡職調查
7. 訪談實踐
8. 與監管機構的溝通
9. 適當的記錄
10. 資源、系統和控制
11. 系統和控制的年度評估
12. 案例研究
對象
保薦人和有興趣瞭解如何對上市申請人進行盡職調查的人士。
導師/講者
溫國良
Daniel Wan specialises in Hong Kong IPOs. Daniel graduated from the University of Leicester, UK with a first class honours degree in law.
Daniel has helped over 30 companies to list in Hong Kong. In terms of total number of successful HK IPOs, Daniel's team is one of the leading IPO legal teams acting for underwriters. Daniel's team is recognized by Legal 500 under the "Hong Kong – Capital Markets (Equity)" category in five consecutive years of 2018 to 2022. The Legal 500 has the following comment on Daniel's team: "The team has a high-level of knowledge and experience, together with a professional service."
Daniel has helped over 30 companies to list in Hong Kong. In terms of total number of successful HK IPOs, Daniel's team is one of the leading IPO legal teams acting for underwriters. Daniel's team is recognized by Legal 500 under the "Hong Kong – Capital Markets (Equity)" category in five consecutive years of 2018 to 2022. The Legal 500 has the following comment on Daniel's team: "The team has a high-level of knowledge and experience, together with a professional service."
詳情
活動編號
TPRCR23007002
日期及時間
2023年4月13日, 星期四 (6:30下午 - 9:30下午)
地點
虛擬平台
相關主題
第6類 - 就機構融資提供意見
第6類 - 就機構融資提供意見 - 保薦人
監管合規
語言
Simp. Chi / 普通話
課程時數
SFC:3.00, PWMA:3.00