Seminar: Liability of Sponsors in IPOs. November 7, 2017.
The Securities and Futures Commission ("SFC") has recently begun a number of probes into the work of sponsors, alleging that their work has been sub-standard. Citing the magnitude of losses suffered by investors in cases of fraud in the listing process, the SFC is positioning sponsors as a key player in minimising the risk of such fraud.
Please join us for this lunch time seminar as we review the legal and regulatory framework governing the work of sponsors and discuss what steps sponsors can take to minimise risk of liability.
Timothy Loh, Managing Partner
Mr. Loh has been active in advising sponsors in respect of due diligence obligations and in representing SFC licensed firms in regulatory investigations conducted by the SFC.
Greg Heaton, Former Senior Director and Head of Licensing at the SFC
Mr. Heaton recently joined Timothy Loh LLP from the SFC, where he had played a critical role in the regulation of sponsors. He brings the regulator's perspective to a sensitive and evolving area of regulation.