Chapter 30

Due Diligence Guidelines –

Provision of Information to Analysts

Appendix I – Recommended Addenda

Addendum 1

Analysts’ Dos and Don’ts

Addendum 2

Instructions to Research Analysts on Providing Notice to Issuers

Addendum 3

Suggested Rider for (a) Presentation Materials for Kick-off Meeting and (b) Hong Kong Publicity Memorandum

Addendum 4

Standard Form Research Report Guidelines

Addendum 5

Form of Memorandum from Sponsor to Issuer

Addendum 6

Suggested Text of Email or other Written Reminder for Issuer’s Counsel

Addendum 7

Suggested Insert for Directors’ Training Presentation

Addendum 8

Suggested Rider for Invitation to Analysts’ Presentation

Addendum 9

Form of Letter to be Signed by Syndicate Members (for exceptional situations)

Addendum 10

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

Addendum 11

Suggested Riders regarding the Issuer’s Confirmation to be Included in the International Underwriting Agreement

Addendum 12

Suggested Rider for Agreement Among Underwriters

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.

Due Diligence Guidelines

Information to Analysts

Addenda

Hong Kong Sponsors Due Diligence Guidelines

Instructions to Research Analysts on Providing Notice to Issuers

Recommended Addenda Appendix I

Form of Memorandum from Sponsor to Issuer

Suggested Text of Email or other Written Reminder for Issuer’s Counsel

Due Diligence Checklist

Due Diligence Process

Due Diligence Compliance
Suggested Insert for Directors Training Presentation
Suggested Text of Email or other Written Reminder to Underwriters’ Counsel Regarding Review of Research Reports

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