Chapter 10

Due Diligence Guidelines –

Controlling Shareholders’ Relationship with the Listing Applicant

4. Other Relevant Due Diligence Guidelines

As a controlling shareholder would also be a connected person of the listing applicant, the sponsor should also refer to Chapter 11 “Due Diligence Guidelines – Connected Persons and Connected Transactions”.


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.

Controlling Shareholders Relationship with the Listing Applicant

Controlling Shareholders and Connected Person

Connected Persons and Connected Transactions

Hong Kong Securities and Futures Commission (SFC)

Hong Kong Stock Exchange Listing Rules

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