Chapter 30.11 – Addendum 9: Form of Letter to be Signed by Syndicate Members (for exceptional situations)

Kirkland & Ellis (March 2016)

Chapter 30.13 – Addendum 11: Suggested Riders regarding the Issuer’s Confirmation to be Included in the International Underwriting Agreement

Chapter 30

Due Diligence Guidelines –

Provision of Information to Analysts

Addendum 10: Suggested Text of Email or other Written Reminder to Underwriters’ Counsel Regarding Review of Research Reports

We take this opportunity to confirm our understanding that you will review such analysts’ research report(s), prepared by syndicate members, as we may forward to you for and only for (a) legal and regulatory review (including but not limited to compliance with paragraph 16 of the SFC Code of Conduct); (b) verification of the accuracy of the legends; and (c) consistency between the disclosures in the prospectus and the research report. You may discuss with the relevant syndicate member any issues arising from such review and may, if required, raise the same afterwards with us.

Your review will be limited to a reasonable number (not expected to exceed three) of substantially final or very advanced draft(s) of each research report submitted.

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 30.11 – Addendum 9: Form of Letter to be Signed by Syndicate Members (for exceptional situations)

Kirkland & Ellis (March 2016)

Chapter 30.13 – Addendum 11: Suggested Riders regarding the Issuer’s Confirmation to be Included in the International Underwriting Agreement

Due Diligence Guidelines

Information to Analysts

Research Reports

Hong Kong Sponsors Due Diligence Guidelines

Analysts Research Report

Addendum 10 Suggested Text of Email or other Written Reminder to Underwriters’ Counsel Regarding Review of Research Reports

Provision of Information to Analysts

Paragraph 16 of the SFC Code of Conduct

Due Diligence Checklist

Due Diligence Process

Due Diligence Compliance
Legal and Regulatory Review
Disclosure in the Prospectus

Table of contents

Disclaimer

Hong Kong Sponsor Due Diligence Guidelines

2020 edition

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