Chapter 2

Due Diligence Guidelines –

General Principles

9. When Due Diligence is Complete

While it is expected that the due diligence will be substantially complete, apart from matters which post-date it, by the time an Application Proof is lodged with the Exchange, the due diligence should be designed to be able to respond to changes affecting the listing applicant’s business and prospects during the period from lodging an Application Proof to the completion of the listing.


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.

Application Proof

When Due Diligence is Complete

Hong Kong Sponsors Due Diligence Guidelines

Due Diligence Substantially Complete by time an Application Proof is Lodged with Exchange

Application Proof Hong Kong Stock Exchange

Hong Kong regulatory regime

Listing applicant

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