Understanding SFC Code of Conduct on Bookbuilding and Placing Activities and its Recent Implementation in Debt Capital Markets Transactions

This CFA Society Hong Kong seminar provides an overview of key issues under the Securities and Futures Commission’s (SFC) code of conduct on bookbuilding and placing activities in debt capital markets transactions. This session highlights regulators’ on-going implementation and monitoring efforts, and how such efforts may impact compliance standards in connection with capital raising in Hong Kong.

As regulatory scrutiny continues to intensify, investment professionals and compliance officers involved in capital raising activities must stay fully informed of regulatory expectations and emerging compliance standards. Register now to secure your place and stay ahead of regulatory developments shaping Hong Kong’s debt capital markets.

Remarks

1. Registration is mandatory; no walk-ins will be entertained. Only registered participants are allowed to stay and attend the event.
2. For paid events, registration is only confirmed upon receipt of payment. If the registration fee remains outstanding, CFA Society Hong Kong reserves the right to disallow entrance to the event.
3. Cash and cheque payments are strictly not accepted. Participants should ensure that online payment is successfully completed; otherwise, registration may not be processed.
4. An administration fee of HK$50 will be charged for any cancellation of confirmed enrollment made on or before 12:30pm, 13 May 2026. All cancellation requests must be made in writing and confirmed by email from CFA Society Hong Kong. A refund of the event fee, less the administration fee of HK$50 per person, will be issued for eligible cancellations. The full event fee will be charged for no-shows or enrollments made less than 12:30pm, 13 May 2026.
5. For payments made by credit card, eligible refunds will be processed through the bank, and participants should allow 4 to 6 weeks for processing. The amount will be refunded to the paid credit card account.
6. Substitutions are allowed, but participants must notify CFA Society Hong Kong prior to the event. Any fee difference resulting from ticket type or the early bird period must be settled to confirm the substitute's registration and seat.
7. The event organizers reserve the right to change the format or date of the event due to unforeseen circumstances without prior notice.
8. Should there be any changes to the event dates or other arrangements, participants will be notified via SMS and/or email. Notices will also be posted on the CFA Society Hong Kong’s website, so participants should stay alert for notifications.
9. For attendance-taking purposes, participants’ names and company names (if applicable) may be provided to the speaker of this event.
10. If participants experience any discomfort or flu symptoms, they should not participate in the event.
11. Participants should take good care of their belongings. CFA Society Hong Kong is not responsible for any personal loss.
12. To ensure a safe and enjoyable environment for everyone, participants are expected to treat fellow attendees with respect. Abusive or threatening behavior will not be tolerated, and individuals who behave inappropriately may be asked to leave the event. new
13. To qualify for CPT/CE hours, all participants must attend the full event. After the event, Society staff will verify participants’ check-in and check-out times from the registration system for the purpose of issuing CPT Attendance Letters, and no pro-rata credit hours will be awarded.
14. No requests for attendance letters will be processed.
15. In the event of a dispute, the decision of CFA Society Hong Kong shall be final and binding.

Personal Information Collection Statement

• Your personal data collected from the registration process will be used for the purpose of the administration of the course/event/activity on which you are registered (“Event”). Such data collected may be accessible by CFA Society Hong Kong’s officers, persons or committees processing the application and related matters. CFA Society Hong Kong reserves the right to inspect personal identity of participants. In addition, CFA Society Hong Kong may use the collected data for statistical research and analysis. By submitting this registration form, you understand and agree that CFA Society Hong Kong may provide your personal data to co-organizers/service providers in or outside Hong Kong for the purpose relating to the Event. For more information about the privacy policy of CFA Society Hong Kong, please visit here. 
• CFA Society Hong Kong intends to use the personal data (including but not limited to your name, email address(es), mobile number and/or social media) to inform you, where relevant, of members’ benefits, goods, services facilities and events organized or provided by CFA Society Hong Kong or other organizations. Members and registered persons may opt out of receiving such materials at any time by sending an email to CFA Society Hong Kong at info@cfasocietyhongkong.org.

By registering for this event, you confirm that you and your guest(s) consent to appearing in any official event photographs and video footage.

• The photographs and video footage can be used by the Society for marketing and publicity in our publications, on our website and in social media, or in a third-party publication.
• In addition, photographs or video footage may be taken by other event attendees and publicly shared, for which the Society cannot be held responsible.