Continued focus of the SFC on the conduct of intermediaries involved in IPOs

Ms Julia Leung, the Securities and Futures Commission’s Deputy Chief Executive Officer and Executive Director of the Intermediaries Division, reiterated in a recent speech that the Commission will continue to uphold the high standards of conduct of intermediaries who are involved in the IPO process in order to maintain and improve the quality of the listings and trading liquidity in Hong Kong.

In this briefing, we highlight some key points raised by Ms Leung on the Commission’s regulatory approach to intermediary supervision.