Changes to Qualifications of listing in Hong Kong - Workshop 2018

My Offerings


HKEx has a statutory duty to ensure an orderly informed and fair market. Accordingly, HKEx reviews the Listing Rules from time to time to ensure that the Listing Rules are up-to-date and reflect the market expectations in Hong Kong and internationally. This workshop aims to give you're an update on the changes to qualifications of listing in Hong Kong under the Securities and Futures Ordinance of Hong Kong.

Key topics covered:

  • Changes to (i) GEM of The Stock Exchange of Hong Kong Limited (HKEx) and (ii) Qualifications of Listing on the Main Board and GEM of the HKEx in mid-February 2018
  • Introduction of listed companies with weighted voting rights (WVR) structure and biotech companies without revenue or profit as well as a new secondary listing regime, etc.
  • Parties involved in an initial public offering (IPO)
  • Roles played by certain professional parties in an IPO

Trainer profile:

Seaman Kwok, Executive Director and Head, Corporate Secretarial of Boardroom Corporate Services (HK) Limited and Director of Boardroom Share Registrars (HK) Limited

Seaman has over 30 years' extensive legal, corporate secretarial and management experience gained from working as company secretary and directors of reputable companies overseas and in Hong Kong (including the Hang Seng Index Constituent and Hang Seng Mid-Cap 50 stock companies). He is an independent non-executive director of a company listed on the HKEx.

Mabel Chan, Deputy Managing Partner and National Head, Outbound Market Development, Grant Thornton Hong Kong Limited

Mabel has over 20 years of experience in providing assurance services to listed, international and private companies. She also has substantial experience in a wide range of services, including IPO, risk management, internal audit, financial due diligence, transaction support, business valuation, as well as forensic investigation.

Mabel is a Certified Public Accountant (Practicing) in Hong Kong and a council member, an associate member and the immediate past president of The Hong Kong Institute of Certified Public Accountants, as well as an associate member of The Institute of Chartered Accountants in England and Wales (ICAEW). She is also a fellow member of The Association of Chartered Certified Accountants (ACCA), a member of CPA Australia and a Certified Internal Auditor.

Rex Hung, Partner, F. Zimmern & Co.

Rex was admitted as a solicitor in Hong Kong in 1996. He has more than 20 years of experience in corporate finance. Rex is an active legal practitioner in Hong Kong IPOs, acting as either the company's lawyer or the sponsor's lawyer in a number of successful listing applications in Hong Kong and was the legal adviser of the first H-share listing on GEM of the HKEx. He is also the legal adviser of a number of Hong Kong listed companies in various industries and is one of the authors of "A Practical Handbook to Hong Kong IPOs 2018".

Lai Chun Yu Lewis, Managing Director, Red Sun Capital Limited

Lewis has 15 years of experience in the financial services sector, of which more than 11 years are in corporate finance. He started his career in London prior to moving to Hong Kong. Trained and qualified at Deloitte, London office, Lewis is a fellow member of The Institute of Chartered Accountants in England and Wales (ICAEW).

Lewis is currently licensed by the Securities & Futures Commission to act as a responsible officer to carry out Type 1 (dealing in securities) and Type 6 (advising on corporate finance) regulated activities under the SFO. He is also a principal of Red Sun Capital Limited for sponsorships. Lewis has executed over 100 corporate finance transactions including, among others, IPOs and financial advisory projects.


  • Apply the knowledge acquired and understanding gained in appropriate circumstance with regards to the changes of listing in Hong Kong under the Securities and Futures Ordinance of Hong Kong
  • Plan strategically in advance the timeline for listing applications


This workshop is suitable for Directors, Chief Executive Officers, Chief Financial Officers, Financial Controllers, Company Secretaries, Legal Counsels/Managers, Corporate Finance Executives, Personal Assistants to Chairman of Companies intending to undergo an IPO, etc.



3 hours