Developments

Developments, updates and news about the Hong Kong Sponsor Due Diligence Guidelines, the sponsor regulatory regime, Paragraph 17 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission,Hong Kong IPOs and guidance provided by The Stock Exchange of Hong Kong Ltd and the Securities and Futures Commission.

New Guidance for Sponsors of GEM IPOs

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...

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Printed version now available

The printed version of the Hong Kong Sponsor Due Diligence Guidelines in English is now available at HK$500 per copy.  To order, please email orders@duediligenceguidelines.com

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Hong Kong Stock Exchange publishes new Guidance Letter GL72-14 in relation to Simplification Series – Disclosure in listing documents for IPO cases – the “Applicable Laws and Regulations” section and publishes revised Guidance Letter GL48-13 in relation to Simplification Series – Disclosure in listing documents for IPO cases – the “Industry Overview” section

The Hong Kong Stock Exchange published on 29 January 2014 (i) new Guidance Letter GL72-14 in relation to Simplification Series - Disclosure in listing documents for IPO cases - the "Applicable Laws and Regulations" section and (ii) revised Guidance Letter GL48-13 in...

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Hong Kong Stock Exchange publishes Listing Decision (LD76-2013) in relation to whether the Applicants were suitable for listing given that they had conducted businesses in certain countries subject to trade or economic sanctions

The Hong Kong Stock Exchange published Listing Decision (LD76-2013) on 13.12.2013 in relation to whether the Applicants were suitable for listing under Listing Rule 8.04 given that they had conducted businesses in certain countries which were subject to trade or...

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SFC Publishes FAQs on New Sponsor Regime

On 8 October 2013, the Securities and Futures Commission (SFC) published FAQs on the sponsor regime.   The New Sponsor Regime FAQs cover the following topics: General, Eligibility to act as Principal, Examinations, Examination exemptions and Team Structure Chart.  The...

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Due Diligence Guidelines

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Hong Kong Sponsors Due Diligence Guidelines

Due Diligence Guidelines Developments

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Paragraph 17 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission

Hong Kong Securities and Futures Commission

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