Updated IPO Guidance Letter: What You Need to Know

Updated IPO Guidance Letter: What You Need to Know

Please note that the captioned webinar has been postponed to 4:30pm-5:30pm, 2nd February 2021. Should you have any questions, please contact Yammie at [email protected]



Julia Charlton, Founding and Managing Partner, Charltons

Pat Woo, Partner, Head of Sustainable Finance, KPMG


Katherine Ng, Managing Director, Chief Operating Officer and Head of Policy and Secretariat Services, Listing Division, Hong Kong Exchanges and Clearing Limited


Whilst Covid-19 has brought about many unfortunate circumstances, it has also underscored the importance of good corporate governance and environmental, social, and governance (ESG). Leading investment strategies are now strongly associated with good corporate governance and ESG, which in turn are being widely supported by regulators, indices, and exchanges.

In July of this year the Hong Kong Exchanges and Clearing Limited (HKEX) updated their IPO guidance letter (GL86-16) to highlight the importance of corporate governance and ESG mechanisms being built into their listing processes. In December they released a deep dive brochure to disseminate information on the topic.

The Chamber has brought together a panel featuring a selection of the expert authors behind the brochure. These panellists will share their practical insights into the listings application process and how it relates to corporate governance and ESG. The discussion will include designing and implementing effective corporate governance and best practices within ESG.

We will be joined by Pat Woo, Partner at KPMG, who will cover the role of reporting accountants; Julia Charlton, Principal Partner at Charltons Law, who will discuss how diverse professionals contribute to a listed company; and Katherine Ng, the Chief Operating Officer and Head of Policy and Secretariat Services Department in the Listing Division, who will moderate the panel and discuss HKEX’s evolving policies.

Join us to get genuine insight into the IPO listings and corporate governance policy from experts at the heart of the matter.



About the speakers

Julia Charlton is the founding and managing partner of Charltons, a boutique corporate finance Hong Kong law firm. Julia practises in the field of corporate finance, including M&A, private equity, securities, virtual assets and funds. She advises sponsors and issuers on the HKEx Listing Rules of both the Main Board and GEM.

Julia is currently a member of the HKEx Listing Review Committee, a member of the SFC Takeovers Panel and the Takeovers Appeals Panel, a senior fellow of the HKSI and a member of the Company Law Committee of the Hong Kong Law Society.


Pat Woo is a Partner of Strategic Development at KPMG who oversees Corporate Social Responsibility as well as being a core member of the KPMG China Steering Committee on Climate Change & Sustainability (“CC&S”). He is also a member of the KPMG Global CC&S network. He has been active for over 9 years in the field of sustainable development in his previous capacity as a director at Central Textiles. Through his leadership Central Textiles was the first textile company in Asia to issue a Sustainability Report under the Global Reporting Initiatives (“GRI”) Guidelines in 2008. The report subsequently received an award from the Association of Chartered Certified Accountants (“ACCA”). Through his initiatives Central Textiles subsequently won the Gold Award for the Hang Seng Pearl River Delta Environmental Award in 2012 and the Hong Kong Award for Environmental Excellence – Manufacturing Sector in 2013. For his contribution to the textile industry with regards to sustainability, Pat received the Young Industrialist of the Year award from the Federation of Hong Kong Industries in 2009.

Pat currently serves on the United Nations Economic & Social Commission for Asia Pacific (UNESCAP) on their Sustainable Business Network Task Force on Banking and finance. He was also previously the founder and Chairman of the Sustainable Fashion Business Consortium, which he continues to sit in the executive committee to push the sustainability agenda in the textile and apparel industry.


About the moderator

Ms. Katherine Ng is the Chief Operating Officer and Head of Policy and Secretariat Services Department in the Listing Division. Ms. Ng joined Hong Kong Exchanges and Clearing Limited (“HKEX”) in 2013. Prior to that, Ms. Ng had served as Political Assistant to the Secretary for Financial Services and the Treasury of the Hong Kong Government, worked in an international investment bank and an international law firm in Hong Kong and London. Ms. Ng holds a Master of Arts in Law from Trinity College, University of Cambridge and is a qualified lawyer in both Hong Kong and England & Wales. Ms. Ng has been the Chairman of Hong Kong Securities and Investment Institute since December 2018. She is an Advisor to Our Hong Kong Foundation, a Director of the World Wide Fund for Nature Hong Kong, a fellow of the Aspen Institute and a Member of the Hong Kong Academy of Finance.


Details on how to join will be sent via email by 5pm the day before the webinar.



  • Member: HK$140
  • Non-Member: HK$250



Terms & Conditions

  • Reservations in advance are required. Please consider your booking confirmed unless notified otherwise.
  • Cancellations must be made in writing 24 hours prior to the event. No shows will be charged.
  • This event is closed to the media.
  • The event will be cancelled if the No.8 Typhoon signal or the Black Rain Storm warning is in force.
  • By attending this event, you agree to be photographed, recorded, and/or filmed and give permission to use your likeness in promotional and/or marketing materials.
  • For further information please email [email protected]
  • All payments for this event need to be settled by credit card through PayPal. Please note you do not need a PayPal account to complete payment.
2/2/2021 4:30 PM - 5:30 PM
China Standard Time

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