Tag: Licensing

New licensing for Hong Kong IPO sponsors

A sponsor firm and its management are responsible for ensuring that staff undertaking sponsor work as Principals and Representatives are licensed and meet the sponsor guidelines. Under the new IPO sponsor regime coming into force on 1 October 2013, there are now three distinct routes through which staff working as Principals on IPO transactions where their firm has been appointed in the role of sponsor can be licensed. read

, , , , , Events, Hong Kong, Licensing... +3 more

Principals key to playing Hong Kong’s IPO game

HONG KONG (Dow Jones Investment Banker) – An analysis of the licenses awarded to investment banks in Hong Kong provides a good overview of the front-office resources available to each of these firms – with a few surprises. It also gives a clue as to how licensees are supervised by senior employees and shows how some firms effectively rely on scarce resources for IPO work as new issue sponsors. read

, , , , Hong Kong, Licensing, Principals... +2 more