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Course Details

IPO Sponsor Duties
Syren Johnstone, Director, Keel Consulting; Solicitor (England & Wales, Hong Kong); Executive Director LLM (Compliance & Regulation) Programme; The University of Hong Kong
Date: 17 September 2019 (Tuesday)
Time: 2:30pm - 5:45pm
Level: I (Intermediate)
For delegates who have prior knowledge of the subject area
Language: English
Fee: HK$ 1,650
Accreditation: 3 CPD pts (Accredited by The Law Society of Hong Kong)
Ref: L19SF09
Venue: Learning Commons Ltd
Room 1602, 16/F,
1 Duddell Street,
Central, Hong Kong
[View Map]
Presenter's Biography:

Mr Johnstone is a regular contributor to thought leadership on the regulation of digital assets and regularly convenes conferences at HKU covering the latest issues in blockchain, digital assets and compliance issues. He is a member of the SFC's Fintech Advisory Group since its formation in 2016. He has undertaken senior management roles regulated by the SFC and The Stock Exchange of Hong Kong, and has been engaged as an expert by Hong Kong's statutory regulators in relation to IPO sponsor duties and making recommendations for reform of the listed market. He has been an influential voice in shaping high profile legal and regulatory matters that have been referenced in Hong Kong's Legislative Council and the Court of Appeal. Syren holds two masters degrees, in science and law, from Oxford and London universities respectively.
 
Objective:

In March and May 2019 the Securities and Futures Commission ("SFC") took disciplinary action against five investment banks in relation to shortcomings in the standards of sponsor work on three initial public offerings ("IPOs") in 2009 and 2014. The course will consider the context of the discipline and review the key areas of sponsor shortcomings. The special nature of the sponsor's gatekeeper role in the listing process and the assurance it provides as regards the quality of disclosures in an IPO prospectus will be considered.
 
Outline:

  • Sources of a sponsor's obligations
  • Sponsor versus underwriter: responsibilities and risks
  • Industry interpretations of applicable regulations
  • Review of the SFC disciplinary actions
  • The three key areas in which shortcomings observed
  • Specific issues in sponsor work: professional judgment, materiality, reliance on experts and other third parties
  • Reviewing what comprises correct due diligence and verification
  • Issues going forward

 
Category: Regulatory & SFC Compliance
Course Booking Terms & Conditions

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Upcoming Courses
17 September 2019 (Tue)
2:30pm - 5:45pm
IPO Sponsor Duties
[L19SF09]
Full
18 September 2019 (Wed)
2:30pm - 5:45pm
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21 September 2019 (Sat)
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23 September 2019 (Mon)
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