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Changes to GEM and Qualifications for Listing in Hong Kong and Roles Played by Professional Parties

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Event Details:

Speakers: Mr Dennis FONG, Mr Seaman KWOK, Miss Anntice LAI, Mr Steven LO

Date: 6 March 2018 (Tuesday)

Time: 7:00pm - 9:00pm (Registration starts at 6:30pm)

Venue: Auditorium, 1/F., Duke of Windsor Social Service Building, 15 Hennessy Road, Wanchai, Hong Kong

Language: Cantonese (no simultaneous translation)

CPD Credit: 2 hours

Fee: HK$100-

About the Seminar:

During the seminar, the speakers will cover the following areas:

(a) Current qualifications for listing on the Main Board and the GEM (Growth Enterprise Market);

(b) Amendments to item (a) above and the GEM, which will take effect on 15th February, 2018;

(c) Parties involved in the listing process; and

(d) Roles played by the sponsors, legal advisors (to both sponsors and company), reporting accountants and company secretaries in an IPO.

About the Speakers:

Mr Dennis FONG

Dennis' practice focuses mainly on corporate transactions including representing both issuers and underwriters in the initial public offerings on Main Board and GEM Board of the Hong Kong Stock Exchange. He has advised a number of listed companies in Hong Kong on both compliance and transaction matters. He has experience in Hong Kong, PRC and overseas commercial transactions, including but not limited to cross-border merger and acquisitions, issuance of bonds and corporate restructuring.

Mr Seaman KWOK

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).

A Chartered Secretary, a professional accountant and a member of The Hong Kong Institute of Directors, Seaman holds a bachelor's degree of arts and a post-graduate diploma in laws (with credit) and has passed the Common Professional Examinations in England and Wales. He was a chief examiner and the longest-serving council member of The Hong Kong Institute of Chartered Secretaries and was named in the “International WHO's WHO of Professionals” in 1999. He has been influential in making the regulators in Hong Kong (including the Stock Exchange) review and amend the Listing Rules in many aspects since the mid-2000's.

Miss Anntice LAI

Anntice has in depth knowledge of financial reporting requirements and a profound understanding of the Hong Kong regulatory environment. She is experienced in resolving and advising upon technical accounting and auditing matters for SMEs through to listed entities, both local and overseas. She provides independent advice internally and to clients on accounting, financial reporting, auditing and listing matters.

Mr Steven LO

Steven graduated with Bachelor of science degree in mechanical engineering from the University of British Columbia, obtained an MBA from HKUST and CFA applied.

He has over 15 years investment banking experience and participated a number of IPO sponsoring, corporate financing and financial consulting projects. Previously held senior executive positions in BOCI, BNP Paribas and Haitong International Capital Limited. His main project experience include: Nexion Technologies, Plover Bay Technologies, Get Nice Financial Group, Chinney Kin Wing, Cinda Financial Leasing, Want Want China, QHD PORT, UC RUSAL, Canvest Environmental Protection Group, H.ichang Ocean Park, Hosa International Limited, Shirble Department Store, IRC, Regent Manner International, Capxon International Electronic and New Focus Auto.

CPD Hours:

Completed CPD hours will be granted to attendees who have attended a full session of seminar. For those who have not attended full session, the number of CPD hours will be discounted accordingly. For the exact recognition of the CPD hours, please check with the respective Institute or Association.

Bad Weather Arrangement:

This event may be cancelled or re-scheduled when typhoon no.8 or black rainstorm warning is hoisted. Please refer to our website for the arrangement.


Accounting Development Foundation Limited (ADF)

CPD Requirements: Our seminars can fulfil CPD requirements. As professional bodies would not formally endorse the seminars we provide, it does not mean that the events we organize do not meet the CPD purpose. Registrants should note that you are responsible for determining whether our seminars or any event satisfy your CPD requirements i.e. that the training you receive are of appropriate standard and relevance to your maintaining and enhancing the technical knowledge and professional expertise. If necessary, please check with your respective professional body before registering our seminars. ADF does not warrant that the attendance of our seminars or events would automatically be recognized by the respective professional bodies as fulfilling your CPD requirements.


- This seminar will be opened for enrolment on 14 February 2018 at 11:00am. The "Login to Enrol" button is NOT available before 14 February 2018 at 11:00am.

- Only ADF Friends and online enrolment will be accepted. Please make sure that you have registered as an ADF Friend and have your ADF Friend account activated before enrolment.

- You may also click here to read the enrolment procedures.

- Acceptance will be on a first-come-first-served basis.

Our server may experience high volume of traffic and cannot process your registration immediately. We are sorry for any inconvenience caused and your kind understanding is highly appreciated.

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