Chapter 17.3 – Material Legal Proceedings and Disputes

Charltons (March 2016)

Chapter 18.1 – Seeking Assistance and Reasonable Reliance

Chapter 17

Due Diligence Guidelines –

Legal and Regulatory Compliance and Legal Proceedings and Disputes

Appendix I

The following paragraphs of Part A of Appendix 1 to the Listing Rules require the following information to be included in the listing document:

31. Particulars of any restriction affecting the remittance of profits or repatriation of capital into Hong Kong from outside Hong Kong.

40. Particulars of any litigation or claims of material importance pending or threatened against any member of the group, or an appropriate negative statement.

Note: under paragraph 40 reference to the group is to be construed as including any company which will become a subsidiary of the issuer by reason of an acquisition which has been agreed or proposed since the date to which the latest audited accounts of the issuer have been made up. (Note 3)

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 17.3 – Material Legal Proceedings and Disputes

Charltons (March 2016)

Chapter 18.1 – Seeking Assistance and Reasonable Reliance

Due Diligence Guidelines

Litigation or Claims

Regulatory Compliance

Hong Kong Sponsors Due Diligence Guidelines

Litigation or Claims of Material Importance Pending

Legal and Regulatory Compliance and Legal Proceedings and Disputes

Part A of Appendix 1 to the Listing Rules

Restriction Affecting the Remittance of Profits or Repatriation of Capital into Hong Kong

Hong Kong Securities and Futures Commission

Hong Kong SFC

Hong Kong Stock Exchange Listing Rules
Legal Compliance for Listing Applicant
Regulatory Compliance for Listing Applicant
Due Diligence Checklist
Due Diligence Process
Due Diligence Compliance

Table of contents

Disclaimer

Hong Kong Sponsor Due Diligence Guidelines

2020 edition

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Coordinating law firm: Charltons

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