Chapter 2

Due Diligence Guidelines –

General Principles

6. Primary Role of the Sponsor and its Advisers for the Conduct of Due Diligence

It is expected that due diligence will be conducted and coordinated principally by the listing applicant’s sponsor and the sponsor’s own advisers and any questions on due diligence from regulators will be addressed directly to, and answered by, the sponsor. The primary responsibility for designing due diligence procedures will also rest with the sponsor with appropriate input from the listing applicant and other experts.


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.


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