Capital Markets

[Webinar] SFC Focus on IPO Sponsors: Key Obligations and Lessons Learned

Overview

This webinar provides a practical update on the SFC’s increased scrutiny of IPO sponsor work. It explains the key drivers behind the regulatory focus, refreshes core sponsor obligations and the main stages of the Hong Kong listing process and highlights common interaction points with the SFC and HKEX.

The webinar also unpacks the SFC circular dated 30 January 2026, focusing on three areas of focus: prospectus drafting and disclosure, responses to regulatory comments and FINI/placement issues, supported by recent lessons learned and control enhancement measures to help sponsors reduce execution and regulatory risk.

Content Highlight

  • Factors driving the heightened regulatory attention to IPO work
  • Sponsor obligations & key elements of the listing process
    • High-level sponsor obligations
    • Indicative timeline
    • Practical focus: sponsor interactions with SFC and HKEX during the listing process
  • Three main areas of concern from SFC circular on 30 January 2026:
    • Drafting issues, misrepresentations and omissions
    • Handling and responding to regulatory comments
    • FINI / placement issues
  • Lessons learned from issues flagged by regulators (case-driven)
    • Common pitfalls observed in recent cases
    • Controls and process improvements sponsors can implement to avoid repeat issues

Who Should Attend

The webinar mainly targets corporate finance practitioners and sponsors. Senior management including directors, ROs, MICs, legal/compliance, risk managers and capital markets professionals involved in IPO execution who interface with sponsors and regulators.

Instructor / Speaker

Yuan ZHENG

Yuan is a counsel in Litigation practice of Davis Polk & Wardwell, currently practicing as a Registered Foreign Lawyer in Hong Kong. Yuan has been advising companies on data breaches and compliance with data privacy law. She also advises multinational corporations, banks and Asia-based companies in regulatory and internal investigations of alleged FCPA violations and breaches of securities, anti-money laundering and sanctions laws. She also represents clients in securities litigations and transactional due diligence, and advises fintech firms in relation to regulatory compliance.

Earlier in her career, Yuan spent two years in the Office of Legal Affairs at the United Nations headquarters and four years at the International Court of Justice in The Hague working on interstate disputes on various international law subjects.

Administrative Details

Code
TSBCM26000701
Date & Time
Tuesday, 2 Jun 2026 (12:30 PM - 01:30 PM)
Venue
Virtual Platform
Relevant Subject
Type 6 - Advising on corporate finance
Type 6 - Advising on corporate finance - Sponsor
Regulatory Compliance
Language
Simp. Chi / Putonghua
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HK$290
Chinese Securities Association of Hong Kong (HKCSA): HK$405
HKSI Institute Staff: Free
Honorary Fellow Member: Free
Non-Member: HK$580
Staff of Corporate Member: HK$290
Back Add to Cart