March 9, 2026
保荐人
79 articles
March 9, 2026
Assessment of Market Manipulation and Insider Dealing Risks in Sponsor Due Diligence
March 9, 2026
Due Diligence Procedures for the Sponsor in Reviewing the Applicant's Asset Retirement Obligations
March 8, 2026
A Sponsor's Due Diligence on Modern Slavery and Human Trafficking Risks for the Listing Applicant
March 7, 2026
HKEX Assessment of the Sponsor's Evaluation of the Applicant's Auditor Independence
March 4, 2026
A Sponsor's Assessment of Biodiversity and Nature-Related Risks for the Listing Applicant
March 4, 2026
A Sponsor's Due Diligence Framework for the Third-Party Risk Management of the Listing Applicant
March 3, 2026
Assessing the Commercial Rationale of Connected Party Purchases and Sales in Sponsor Due Diligence
March 2, 2026
HKEX Assessment of the Sponsor's Evaluation of the Applicant's Nomination Committee
February 27, 2026
A Sponsor's Due Diligence on the Artificial Intelligence and Automation Risks of the Listing Applicant
February 26, 2026
HKEX Assessment of the Sponsor's Evaluation of the Applicant's Risk Management Committee
February 24, 2026
A Sponsor's Review of the Data Governance and Data Quality Management of the Listing Applicant
February 22, 2026
HKEX Handling of Material Internal Control Weaknesses Identified by the Sponsor in the Listing Application
February 21, 2026
A Sponsor's Verification and Assessment of Cybersecurity Insurance Coverage for the Applicant
February 19, 2026
Analysis of Indicators of Impairment for Long-Term Equity Investments in Sponsor Due Diligence
February 17, 2026
A Sponsor's Review of the Diversity and Inclusion Policies of the Listing Applicant
February 16, 2026
HKEX Assessment of the Sponsor's Evaluation of the Applicant's Audit Committee
February 15, 2026
A Sponsor's Due Diligence on the Risk of Intellectual Property Infringement by the Listing Applicant
February 13, 2026
A Sponsor's Assessment and Mitigation of Key Person Dependency Risk for the Listing Applicant
February 11, 2026
A Sponsor's Assessment and Verification of Anti-Competitive Behaviour Risk for the Applicant
February 11, 2026
HKEX Expectations for Transparency of Sponsor Fees in the Listing Application
February 9, 2026
Analysis of Customer Concentration and Churn Rate in Sponsor Due Diligence
February 6, 2026
HKEX Guidance on the Norms for Sponsors Citing Industry Experts in the Listing Application
February 5, 2026
A Sponsor's Assessment and Disclosure of the Aggressiveness of a Listing Applicant's Tax Planning
February 2, 2026
A Sponsor's Verification of the Listing Applicant's Cybersecurity Incident History
February 2, 2026
Assessing the Recoverability of Connected Party Loans in Sponsor Due Diligence
January 31, 2026
A Sponsor's Assessment of the Disruptive Risk to the Listing Applicant's Business Model
January 29, 2026
A Sponsor's Duty to Review the Corporate Social Responsibility Report of the Listing Applicant
January 27, 2026
A Sponsor's Assessment and Disclosure of Climate Change Risk for the Listing Applicant
January 23, 2026
A Sponsor's Assessment and Mitigation of Business Disruption Risk for the Listing Applicant
January 22, 2026
HKEX Guidance on a Sponsor's Handling of Disagreements with Expert Reports in the Listing Application
January 21, 2026
A Sponsor's Risk Assessment of Major Supplier Concentration for the Listing Applicant
January 21, 2026
Considerations for the Sponsor in Assessing the Stability of the Listing Applicant's Management
January 19, 2026
A Sponsor's Impact Assessment of Industry Regulatory Changes on the Listing Applicant
January 19, 2026
A Sponsor's Reasonableness Review of the Capitalisation of R&D Expenditure
January 18, 2026
HKEX Focus Points in Reviewing the Content of the Sponsor's Declaration in the Listing Application
January 17, 2026
A Sponsor's Verification Method for the Clarity of the Listing Applicant's Asset Ownership
January 16, 2026
Analysing Dependency on Government Grants and Subsidies in Sponsor Due Diligence
January 14, 2026
A Sponsor's Review of the Impairment Risk of the Listing Applicant's Intangible Assets
January 13, 2026
A Sponsor's Assessment and Disclosure of Foreign Exchange Control Risk for the Applicant
January 12, 2026
Considering Political and Macroeconomic Risk in Sponsor Due Diligence
January 12, 2026
HKEX Requirements for Sponsor Disclosure of Conflicts of Interest in the Listing Application
January 7, 2026
A Sponsor's Analysis and Disclosure of the Seasonality of a Listing Applicant's Business
January 6, 2026
Assessing the Fairness of Pricing in Connected Party Transactions During Sponsor Due Diligence
January 5, 2026
A Sponsor's Disclosure Obligation Regarding Material Litigation of the Listing Applicant
January 3, 2026
A Sponsor's Assessment Framework for the Going Concern Status of a Listing Applicant
January 3, 2026
Analysing Major Customer Dependency in Sponsor Due Diligence
January 1, 2026
HKEX Guidance on a Sponsor's Reliance on Expert Reports in the Listing Application
December 31, 2025
A Sponsor's Assessment of Anti-Corruption and Bribery Risks for the Listing Applicant
December 30, 2025
An Environmental Compliance Verification Checklist for Sponsor Due Diligence
December 30, 2025
Best Practices for Sponsors in Managing the Listing Applicant's Data Room
December 26, 2025
A Sponsor's Reasonableness Review of the Assumptions Underlying a Listing Applicant's Financial Forecasts
December 25, 2025
A Sponsor's Methodology for Assessing the Supply Chain Risk of a Listing Applicant
December 24, 2025
Core Focus Areas for the Sponsor in Assessing a Listing Applicant's Corporate Governance
December 23, 2025
HKEX Requirements for Sponsor Communication Records During the Listing Application
December 21, 2025
A Sponsor's Responsibility to Review the Information System Security of a Listing Applicant
December 21, 2025
Assessment and Disclosure of Foreign Exchange Risk in Sponsor Due Diligence
December 18, 2025
A Sponsor's Enhanced Review Obligations for Connected Transactions of the Listing Applicant
December 17, 2025
A Sponsor's Framework for Assessing the Internal Control Systems of a Listing Applicant
December 16, 2025
A Sponsor's Duty of Care Regarding Listing Applicant Forecasts and Estimates
December 12, 2025
Additional Sponsor Compliance Obligations in Reverse Takeovers and Extreme Transactions
December 11, 2025
A Sponsor's Responsibility for Assessing the ESG Risks of a Listing Applicant
December 11, 2025
HKEX Expectations on Sponsor Due Diligence Timelines and Practical Pressure Management
December 10, 2025
A Sponsor's Supervisory Duty When Engaging Third-Party Experts for Due Diligence Work
December 8, 2025
An Execution Framework for Sponsor Assessment of Listing Applicant Management Integrity
December 7, 2025
Building a Sponsor Compliance Culture: From Tone at the Top to Frontline Implementation
December 5, 2025
Defining Sponsor Independence and Connected Sponsors: Designing Intra-Group Firewalls
December 4, 2025
Drafting the Sponsor's Statement in the Prospectus: Key Points and Common Deficiencies
December 3, 2025
Annual Sponsor Compliance Review: Self-Assessment Tools and Remediation Plan Development
December 3, 2025
Civil and Criminal Dimensions of Sponsor Legal Liability: A Review of Recent Case Law
December 1, 2025
Additional Sponsor Due Diligence Responsibilities in Spin-off and Demerger Listing Projects
December 1, 2025
Anatomy of an SFC Onsite Inspection: Focus Areas for Sponsor Risk Management Systems
December 1, 2025
Execution Standards for Supplier and Customer Interviews in Sponsor Due Diligence
November 29, 2025
Drafting and Updating the Sponsor Internal Compliance Manual: Adapting to Regulatory Changes
November 28, 2025
Distinguishing the Scope of Type 6 and Type 6A Regulated Activities: A Career Pathway for Licensees
November 27, 2025
Balancing the Sponsor's Whistleblowing Duty and Confidentiality Obligation During the Listing Process
November 25, 2025
Establishing a Robust Anti-Money Laundering Due Diligence Framework for Licensed Sponsors
November 24, 2025
Decoding SFC Circulars: Where Are the Red Lines for Sponsor Compliance Adviser Role Conflicts
November 22, 2025