September 24, 2026
保荐人
223 articles
March 11, 2026
The Financial Impact of Contract Termination and Customer Attrition in Sponsor Due Diligence
March 11, 2026
How Sponsors Can Establish Effective Controls for Regulatory Filing Accuracy and Timeliness
March 11, 2026
How Sponsors Handle Geopolitical and Trade Friction Risks for the Listing Applicant
March 11, 2026
SFC Verification of the Effectiveness of Sponsor Compliance Remedial Measures and Rectification
March 9, 2026
A Sponsor's Review of the Useful Life and Amortisation of the Listing Applicant's Intangible Assets
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 8, 2026
How Type 6 Licensees Handle Pre-Vetting Communications with Regulators During the Listing Process
March 7, 2026
How Sponsors Can Establish an Effective Compliance Dashboard and Key Risk Indicators
March 7, 2026
HKEX Assessment of the Sponsor's Evaluation of the Applicant's Auditor Independence
March 6, 2026
Procedures and Judgements in the Sponsor's Review of the Consolidation Scope of the Applicant
March 6, 2026
SFC Regulatory Requirements for Sponsor Whistleblower Protection and Non-Retaliation Policies
March 5, 2026
Verification of the Funding Status of Retirement Benefit Schemes in Sponsor Due Diligence
March 5, 2026
How Sponsors Handle the Digital Transformation and Technology Risks of the Listing Applicant
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 3, 2026
How Sponsors Can Establish Effective Regulatory Information Confidentiality and Wall-Crossing Controls
March 2, 2026
HKEX Assessment of the Sponsor's Evaluation of the Applicant's Nomination Committee
March 2, 2026
How Type 6 Licensees Ensure a Reasonable Basis for the Listing Applicant's Prospective Disclosures
March 1, 2026
Verification of Minority Shareholder Protection Mechanisms in Sponsor Due Diligence
February 28, 2026
Key Tests in a Sponsor's Review of the Revenue Recognition Policy of the Listing Applicant
February 28, 2026
How Sponsors Handle the Natural Disaster and Climate Risk Exposure of the Listing Applicant
February 28, 2026
SFC Expectations for Periodic Assessment of a Sponsor's Compliance Culture and Ethical Conduct
February 27, 2026
How Type 6 Licensees Handle Interference from Competitors During the Listing Application Process
February 27, 2026
A Sponsor's Due Diligence on the Artificial Intelligence and Automation Risks of the Listing Applicant
February 26, 2026
How Sponsors Can Establish an Effective Compliance Training Needs Analysis and Assessment
February 26, 2026
HKEX Assessment of the Sponsor's Evaluation of the Applicant's Risk Management Committee
February 25, 2026
Risk of Termination Clauses in Business Cooperation Agreements in Sponsor Due Diligence
February 25, 2026
Verification of Off-Balance-Sheet Structures and Variable Interest Entities in Sponsor Due Diligence
February 24, 2026
The SFC's Strengthened Requirements for Sponsor Compliance Audit Trails and Documentation
February 24, 2026
A Sponsor's Review of the Data Governance and Data Quality Management of the Listing Applicant
February 23, 2026
The Sponsor's Role in Reviewing the Classification and Measurement of the Applicant's Financial Instruments
February 23, 2026
The Depth and Breadth of a Sponsor's Supply Chain Due Diligence for the Listing Applicant
February 22, 2026
How Sponsors Handle Risks Related to Political Donations and Lobbying Activities by the Applicant
February 22, 2026
HKEX Handling of Material Internal Control Weaknesses Identified by the Sponsor in the Listing Application
February 21, 2026
How Type 6 Licensees Manage Stakeholder Expectations During the Listing Application Process
February 21, 2026
A Sponsor's Verification and Assessment of Cybersecurity Insurance Coverage for the Applicant
February 20, 2026
Risk Assessment of Product Recalls and Quality Assurance in Sponsor Due Diligence
February 20, 2026
How Sponsors Can Establish an Effective Regulatory Change Impact Assessment Process
February 19, 2026
Analysis of Indicators of Impairment for Long-Term Equity Investments in Sponsor Due Diligence
February 19, 2026
SFC Assessment of the Adequacy of Resource Allocation for a Sponsor's Compliance Function
February 18, 2026
Procedures and Controls for the Sponsor in Reviewing Fair Value Measurements of the Applicant
February 17, 2026
How a Sponsor Handles Delisting Risks and Contingency Plans for the Listing Applicant
February 17, 2026
A Sponsor's Review of the Diversity and Inclusion Policies of the Listing Applicant
February 16, 2026
Verification of Environmental Remediation Obligations and Provisions in Sponsor Due Diligence
February 16, 2026
HKEX Assessment of the Sponsor's Evaluation of the Applicant's Audit Committee
February 15, 2026
How Sponsors Can Establish an Effective Due Diligence Deficiency Remediation Tracking Mechanism
February 15, 2026
A Sponsor's Due Diligence on the Risk of Intellectual Property Infringement by the Listing Applicant
February 15, 2026
How Type 6 Licensees Handle Changes in Transaction Structure During the Listing Application Process
February 14, 2026
Verification of Lease Commitments and Right-of-Use Assets in Sponsor Due Diligence
February 14, 2026
SFC Regulatory Expectations for Sponsor Corporate Governance and Board Oversight
February 13, 2026
A Sponsor's Assessment and Mitigation of Key Person Dependency Risk for the Listing Applicant
February 13, 2026
The Sponsor's Role in Reviewing the Listing Applicant's Connected Party Cash Pooling Arrangements
February 13, 2026
Risk Assessment of Brand Value and Goodwill Impairment in Sponsor Due Diligence
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 11, 2026
How Sponsors Handle Sanctions and Export Control Compliance Risks for the Listing Applicant
February 10, 2026
How Type 6 Licensees Ensure Quality Control Over the Listing Application Documents
February 10, 2026
Procedures and Methods for the Sponsor in Reviewing the Applicant's Asset Impairment Testing
February 9, 2026
How Sponsors Can Build an Effective Regulatory Communication and Relationship Management Strategy
February 9, 2026
Analysis of Customer Concentration and Churn Rate in Sponsor Due Diligence
February 8, 2026
Key Due Diligence Points for a Sponsor on the Human Capital Management of the Listing Applicant
February 7, 2026
SFC Requirements for the Periodic Review of a Sponsor's Conflict of Interest Management System
February 7, 2026
Independent Verification of Patents and Technology Licences in Sponsor Due Diligence
February 7, 2026
How Sponsors Handle Cross-Border Data Transfer Compliance Risks for the Listing Applicant
February 6, 2026
HKEX Guidance on the Norms for Sponsors Citing Industry Experts in the Listing Application
February 5, 2026
How Type 6 Licensees Handle Negative Media Coverage During the Listing Application Process
February 5, 2026
A Sponsor's Assessment and Disclosure of the Aggressiveness of a Listing Applicant's Tax Planning
February 4, 2026
How Sponsors Can Establish an Effective Compliance Risk Self-Assessment Program
February 4, 2026
Risk Assessment of Performance Under Long-Term Supply Contracts in Sponsor Due Diligence
February 4, 2026
The Sponsor's Role in the Fair Value Assessment of the Listing Applicant's Equity Incentive Plans
February 3, 2026
SFC Regulatory Expectations for Sponsor Stress Testing and Scenario Analysis
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
February 2, 2026
The HKEX's Focus on the Independence of the Financial Adviser in a Sponsor's Listing Application
February 2, 2026
How a Sponsor Handles the Listing Applicant's Significant Capital Commitments and Contingencies
February 1, 2026
How Sponsors Can Build an Effective Regulatory Filing and Notification Process
January 31, 2026
A Sponsor's Assessment of the Disruptive Risk to the Listing Applicant's Business Model
January 31, 2026
Verification of Sale-and-Leaseback and Structured Financing Arrangements in Sponsor Due Diligence
January 30, 2026
The SFC's Regulatory Stance and Expectations on the Use of Compliance Technology by Sponsors
January 30, 2026
How Type 6 Licensees Manage the Timeline and Milestones of the Listing Application Process
January 29, 2026
The Sponsor's Role in Reviewing Directors' and Officers' Liability Insurance for the Applicant
January 29, 2026
A Sponsor's Duty to Review the Corporate Social Responsibility Report of the Listing Applicant
January 28, 2026
How Sponsors Handle Risks Related to a Listing Applicant's Digital Assets and Cryptocurrencies
January 28, 2026
The HKEX's Ongoing Monitoring of a Sponsor's Independence Undertaking During the Application
January 27, 2026
A Sponsor's Assessment and Disclosure of Climate Change Risk for the Listing Applicant
January 27, 2026
How Type 6 Licensees Ensure the Completeness of a Listing Applicant's Disclosures
January 27, 2026
Verification of Associate and Joint Venture Arrangements in Sponsor Due Diligence
January 26, 2026
How Sponsors Can Build an Effective Anti-Fraud Risk Management Framework
January 25, 2026
Verification of Franchise and Licensing Agreements in Sponsor Due Diligence
January 25, 2026
SFC Regulatory Requirements for Sponsor Record Management and Data Retention
January 25, 2026
The Sponsor's Role in Reviewing the Share Buyback and Dividend Policy of the Listing Applicant
January 24, 2026
How a Sponsor Handles Pending Regulatory Investigations or Penalties Against the Listing Applicant
January 24, 2026
Verification of the Use of Derivative Financial Instruments in Sponsor Due Diligence
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
How Type 6 Licensees Handle Whistleblower Reports During the Listing Process
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 20, 2026
How Sponsors Can Build an Effective Mechanism for Sharing Client Due Diligence Information
January 20, 2026
SFC Expectations for Sponsor Business Continuity and Contingency Planning
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
How a Sponsor Handles a Listing Applicant's Off-Balance-Sheet Liabilities and Commitments
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
How Sponsors Manage Risks Involving Public Interest Entities During the Listing Process
January 16, 2026
Analysing Dependency on Government Grants and Subsidies in Sponsor Due Diligence
January 16, 2026
SFC Regulatory Requirements for a Sponsor's Complaint Handling Mechanism
January 16, 2026
Tax Due Diligence by the Sponsor on the Listing Applicant's Historical Restructuring
January 15, 2026
How Sponsors Handle the Protection of a Listing Applicant's Sensitive Commercial Information
January 14, 2026
How Type 6 Licensees Can Establish an Effective Internal Training System
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
Verification of Social Insurance and Housing Provident Fund Contributions in Sponsor Due Diligence
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 12, 2026
How Type 6 Licensees Prepare for the HKEX Listing Committee Hearing
January 11, 2026
How Sponsors Can Build an Effective Regulatory Change Tracking and Response Mechanism
January 11, 2026
SFC Regulatory Expectations for Sponsor Cybersecurity Risk Management
January 10, 2026
Verification of Product Liability and Safety in Sponsor Due Diligence
January 9, 2026
The Sponsor's Role in Assessing the Rationality of the Use of Proceeds from the Listing
January 9, 2026
Verification of Labour Compliance and Employment Practices in Sponsor Due Diligence
January 8, 2026
How a Sponsor Handles a Listing Applicant's Historical Non-Compliance Incidents
January 7, 2026
Key Ratio Analysis in a Sponsor's Review of the Listing Applicant's Financial Statements
January 7, 2026
The HKEX's Heightened Expectation for Sponsor Communication Transparency 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
How Type 6 Licensees Respond to Information Requests and Enquiries from Regulators
January 6, 2026
Assessing the Fairness of Pricing in Connected Party Transactions During Sponsor Due Diligence
January 5, 2026
SFC Requirements on the Independence of the Sponsor's Compliance Monitoring Function
January 5, 2026
How Sponsors Can Establish an Effective Due Diligence Quality Assurance Process
January 5, 2026
A Sponsor's Disclosure Obligation Regarding Material Litigation of the Listing Applicant
January 4, 2026
Verification of Data Privacy Compliance in Sponsor Due Diligence
January 3, 2026
Industry-Specific Risks in a Sponsor's Business Due Diligence 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 2, 2026
How Type 6 Licensees Ensure the Completeness and Auditability of Due Diligence Documentation
January 2, 2026
How Sponsors Handle Fund Flows Between the Listing Applicant and Connected Parties
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 31, 2025
The Regulatory Trend Towards SFC Accountability of Sponsor Senior Management
December 30, 2025
How Sponsors Can Build an Effective Conflict of Interest Register and Management System
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 29, 2025
Sponsor Compliance Review of a Listing Applicant's Share Award and Incentive Schemes
December 29, 2025
Verification of Regulatory Licences and Permits in Sponsor Due Diligence
December 27, 2025
The HKEX Statement of Expectation on the Independent Judgement of a Sponsor's Due Diligence
December 27, 2025
How Type 6 Licensees Manage Resource Allocation Across Multiple Listing Mandates
December 27, 2025
How a Sponsor Should Respond to a Material Adverse Change During the Listing Application
December 26, 2025
A Sponsor's Reasonableness Review of the Assumptions Underlying a Listing Applicant's Financial Forecasts
December 25, 2025
The SFC's Regulatory Stance on the Outsourcing of Sponsor Due Diligence Work
December 25, 2025
Independent Market Research on the Competitive Landscape in Sponsor Due Diligence
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
How Sponsors Can Establish Effective Client Acceptance and Ongoing Monitoring Procedures
December 23, 2025
HKEX Requirements for Sponsor Communication Records During the Listing Application
December 23, 2025
Synergies and Conflict Management Between Type 6 and Other Regulated Activity Licences
December 23, 2025
Verification of Pension and Employee Benefits in Sponsor Due Diligence
December 22, 2025
The Sponsor's Role in the Suitability Assessment of the Listing Applicant's Directors
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 21, 2025
The Substantive Impact of SFC Sponsor Guideline Amendments on the Scope of Due Diligence
December 20, 2025
How Sponsors Handle Applications for Conflict of Interest Waivers During the Listing Process
December 19, 2025
Key Verification Points for Insurance Coverage in Sponsor Due Diligence
December 18, 2025
How Sponsors Balance Commercial Pressure with Regulatory Compliance Duties
December 18, 2025
Specific Content Requirements for the HKEX Written Confirmation of Sponsor Independence
December 18, 2025
A Sponsor's Enhanced Review Obligations for Connected Transactions of the Listing Applicant
December 17, 2025
How Type 6 Licensees Can Prepare for a Surprise SFC Onsite Inspection
December 17, 2025
A Sponsor's Framework for Assessing the Internal Control Systems of a Listing Applicant
December 16, 2025
Methodology for Assessing Litigation and Disputes in Sponsor Due Diligence
December 16, 2025
A Sponsor's Duty of Care Regarding Listing Applicant Forecasts and Estimates
December 16, 2025
How Sponsors Manage the Sustainability Risk of a Listing Applicant's Business Model
December 15, 2025
The Supervisory Role of Independent Non-Executive Directors in a Sponsor's Work
December 15, 2025
SFC Regulatory Requirements for Sponsor Business Continuity Planning
December 14, 2025
How Sponsors Can Establish an Effective Internal Whistleblowing Mechanism to Meet Regulatory Expectations
December 13, 2025
Key Sponsor Due Diligence Points Regarding the Tax Compliance of a Listing Applicant
December 13, 2025
Methodology and Depth of Intellectual Property Verification in Sponsor Due Diligence
December 12, 2025
Additional Sponsor Compliance Obligations in Reverse Takeovers and Extreme Transactions
December 11, 2025
Practical Application of SFC Type 6 Licensing Conditions and Waiver Provisions
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
Special Duties of Sponsors in Debt Restructuring and Insolvency Protection Scenarios
December 10, 2025
A Sponsor's Supervisory Duty When Engaging Third-Party Experts for Due Diligence Work
December 10, 2025
How a Sponsor Should Handle False or Misleading Information Provided by the Listing Applicant
December 8, 2025
Trends in HKEX Listing Committee Scrutiny on the Quality of Sponsor Due Diligence
December 8, 2025
An Execution Framework for Sponsor Assessment of Listing Applicant Management Integrity
December 7, 2025
Latest SFC Sponsor Guidelines on Requirements for Due Diligence Meeting Minutes
December 7, 2025
How Sponsors Should Handle Media Enquiries and Information Leakage During the Listing Application
December 7, 2025
The Sponsor's Role and Methodology in Reviewing Material Contracts of the Listing Applicant
December 7, 2025
Building a Sponsor Compliance Culture: From Tone at the Top to Frontline Implementation
December 6, 2025
Practical Arrangements for Type 6 Licensee Continuous Professional Training Requirements
December 5, 2025
Reliance and Verification of Property Valuations in Sponsor Due Diligence
December 5, 2025
The Scope and Limits of a Sponsor's Review Responsibility for the Applicant's Accountant's Report
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 3, 2025
How to Assess the Experience and Competence of a Sponsor Team: A Practical Due Diligence Framework
December 1, 2025
Record-Keeping Requirements for SFC Licensed Sponsors: Practical Electronic Communication Surveillance
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 30, 2025
The Implicit Expectations of the HKEX on the Sponsor Due Diligence Document Checklist
November 30, 2025
Sponsor Conflicts of Interest Management: Enhanced Due Diligence on Connected Person Transactions
November 29, 2025
Drafting and Updating the Sponsor Internal Compliance Manual: Adapting to Regulatory Changes
November 28, 2025
Managing Jurisdictional Conflicts for Sponsors in Cross-Border IPO Transactions
November 28, 2025
Distinguishing the Scope of Type 6 and Type 6A Regulated Activities: A Career Pathway for Licensees
November 28, 2025
Sponsor Continuing Supervision Obligations: Key Compliance Points for the First Full Financial Year
November 27, 2025
Balancing the Sponsor's Whistleblowing Duty and Confidentiality Obligation During the Listing Process
November 27, 2025
Trend Analysis of HKEX Disciplinary Actions Against Sponsors for Due Diligence Failures
November 26, 2025
The Boundaries of Sponsor Legal Liability During Prospectus Drafting: A Practical Guide
November 25, 2025
Regulatory Expectations and Best Practices for Sponsor Due Diligence Working Papers
November 25, 2025
Establishing a Robust Anti-Money Laundering Due Diligence Framework for Licensed Sponsors
November 24, 2025
How to Select a Sponsor: A Compliance Assessment Framework for Listing Applicants
November 24, 2025
Decoding SFC Circulars: Where Are the Red Lines for Sponsor Compliance Adviser Role Conflicts
November 23, 2025
SFC Type 6 Licensing Examination: Essential Regulatory Knowledge for Prospective Sponsors
November 23, 2025
Sponsor Due Diligence Checklist for IPO: Ten Critical Steps for SFC Type 6 Licensees
November 22, 2025
HKEX Listing Committee Rulings on Sponsor Independence: Defining and Avoiding Deficiencies
November 22, 2025
Sponsor vs Compliance Adviser: Practical Distinctions in Pre and Post-Listing Responsibilities
November 21, 2025