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Compliance, Legislative & Regulatory Standards

[Webinar] SFO Refresher Course - IPO Sponsors in Hong Kong

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概要

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.

宗旨

The course aims to clarify the HKEX rules when dealing in securities market in Hong Kong.

內容

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

對象

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.

導師/講者

陳敏慧
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 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 Individual Membership Committee.

詳情

活動編號
TPRCR25006501
日期及時間
2025年11月6日, 星期四 (5:30下午 - 8:30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
英文
課程時數
SFC:3.00, PWMA:3.00
費用
所有會員: HK$870
機構會員員工: HK$870
香港中資証券業協會(HKCSA): HK$1220
非會員: HK$1740
香港證券及投資學會員工: HK$0
榮譽資深會員(FHKSI(Hon)): HK$0
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