• *FULL* Reverse Takeovers

    This course is FULL.

    Preparing for an IPO and going through new listing requirements involve enormous time, costs and liabilities. Are there any ways to avoid these in order to achieve a listing status? From time to time the market is hot with buying and selling of “Listed Shells” for the purposes of backdoor listings. What are the views of HKEx and SFC on this and the measures they adopt to handle such situations? This course will explore all these issues and provide case studies for the audience.

    This course will be very useful for capital market and IPO practitioners, in particular investment bankers, listed issuers, lawyers and other relevant parties.

    11 Dec, 2017

    CPD/CPT Courses
  • *FULL* Risk Management & Compliance Concerns in the Asset Management Industry

    *Please note this course will be conducted in Cantonese*

    Strong growth in the Asset Management Industry, by either the AUM amount or the number of Type 9 license applicants, is observed in recent years. The growth in Asset Management business comes along with higher risk management and compliance requirements locally and internationally.

    This course is intended to share the RM & Compliance trends, risks and measures of Asset Management.

    25 Sep, 2017

  • *FULL* SFC licensing Regime Update and Upcoming Expanded SFC Type 9 License Regime

    This course will provide an update of the current SFC licensing requirements for intermediaries such as common issues arising from SFC licenses applications and details of upcoming expanded Type 9 license regime and its impact on fund management companies and hedge fund managers will also be discussed.

    *Due to popular demand, this course is now FULL. Please contact us by email at to be put on waiting list for this course. To request re-run, please click on the “request re-run” box on the right.

    27 Feb, 2017

  • *FULL* Share Placements and Rights Issues

    Hong Kong as an international financial hub has various ways for companies to raise capital after listing. Share placements and rights issues have continued to be popular this year for listed companies as a cost-effective means to raise funds. Deciding which method is most suitable for your company is important. This course will examine advantages and key success factors of these methods.

    01 Dec, 2017