The SFC and HKEx issued a Joint Statement Regarding the Price Volatility of GEM Stocks on 20 Jan. 2017 on concerns as to high concentrations of shareholdings on GEM IPO placings and setting out obligations for listing applicants and their sponsors. The SFC also issued Guidelines to sponsors, underwriters and placing agents involved in the listing and placing of IPO stocks (20 Jan. 2017) which set out specific requirements and guidance for sponsors and placing agents.
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Hong Kong Sponsor Due Diligence Guidelines
2020 edition
Published by HKCFEF Limited
Copyright 2013-2020 © HKCFEF Limited
Coordinating law firm: Charltons
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