Hong Kong Sponsor Due Diligence Guidelines

2020 Edition

The Hong Kong Sponsor Due Diligence Guidelines have been developed as an initiative of Hong Kong sponsors for the purpose of promoting standards in the conduct of due diligence in respect of new Hong Kong listings of equity securities with a view to maintaining the integrity of the Hong Kong market and, in particular, to assuring the quality of information disclosed in listing documents.

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All Chapters

Preface, Glossary and Table of Contents

General Approach

General Due Diligence

Specific Matters / Experts and Third Parties

Management of the Listing Process

Hong Kong Sponsor Due Diligence Guidelines

General Approach

Specific Matters / Experts and Third Parties

Management of the Listing Process

as at September 2013 version

as at January 2015 version

as at March 2016 version

Due Diligence Guidelines

Hong Kong Sponsors

Paragraph 17 of the Code of Conduct

Hong Kong Due Diligence Guidelines

Guidance for Hong Kong Sponsors

Paragraph 17 of the Code of Conduct

Advice for Hong Kong Sponsors

Listing Rules

Persons licensed by or registered with the SFC

Hong Kong Securities and Futures Commission

Hong Kong SFC

Quality of sponsor work

Due Diligence Checklist

Due Diligence Process

Due Diligence Compliance

New Hong Kong IPO

Disclaimer

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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