Chapter 28.3 – Appendix I – Mixed Media Offer

Freshfields Bruckhaus Deringer (March 2016)

Chapter 29.2 – SFC’s Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (Code of Conduct)

Chapter 29

Due Diligence Guidelines –

Communications with Regulators

Key References

Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission

Corporate Finance Adviser Code of Conduct

Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited

1. Introduction

1.1 Background

1.1.1 The focus of these due diligence guidelines is on the standards that a sponsor must follow when communicating with Hong Kong regulators.

1.1.2 The primary Hong Kong regulators applicable to sponsors are the Securities and Futures Commission (the SFC or the Commission) and the Stock Exchange of Hong Kong Limited (the Stock Exchange or the Exchange).

1.1.3 This note covers requirements under Hong Kong laws and regulations relating to sponsors’ communications with these regulators, but it does not cover any communication requirements of general applicability outside of the sponsor context.

Disclaimer

HKCFEF Limited and the contributing law firms, accountants and sponsors are not offering these due diligence guidelines as legal, financial or professional advice or services and they should not be relied upon as such. These due diligence guidelines should not be used as a sole basis for any decision, action or inaction and are not meant to serve as a substitute for the advice of qualified professionals. See here for the full terms and conditions.

Chapter 28.3 – Appendix I – Mixed Media Offer

Freshfields Bruckhaus Deringer (March 2016)

Chapter 29.2 – SFC’s Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (Code of Conduct)

Due Diligence Guidelines

Securities and Futures Commission

Regulators

Hong Kong Sponsors Due Diligence Guidelines

Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission

Communications with Regulators

Hong Kong Law and Regulations Relating to Sponsors Communications

Stock Exchange of Hong Kong Limited

Due Diligence Checklist

Due Diligence Process

Due Diligence Compliance
Corporate Finance Adviser Code of Conduct
Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited
Hong Kong Stock Exchange

Table of contents

Disclaimer

Hong Kong Sponsor Due Diligence Guidelines

2020 edition

Published by HKCFEF Limited

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Coordinating law firm: Charltons

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