IPO Sponsorship and Financial Advisory (Type 6)

We act as sponsor for proposed listing applicants on both the Main Board and GEM.

Our primary responsibilities as sponsor include, advising and guiding proposed listing applicants as to the regulatory requirements; providing assurance to the Stock Exchange and the market that the proposed listing applicants comply with relevant regulatory requirements; and ensuring the listing documents provide sufficient information for investors.

We, as a sponsor, also introduce and liaise with a syndicate of underwriters to assist the proposed listing applicant in placing the offering shares to professional investors, institutional and individual investors and to underwrite such offering shares.

In addition, we provide corporate finance advisory services, as financial advisers or independent financial advisers, to our customers which are listed companies, non-listed companies and potential listing applicants on the Stock Exchange. We have been licensed by the SFC to conduct Type 6 (advising on corporate finance) regulated activity under the SFO since April 2009.

Our corporate finance advisory services mainly include, advising on transactions or compliance matters under the Listing Rules and/or the Takeovers Code in the capacity of financial advisers; giving opinion or recommendation to the independent board committee and independent shareholders of our customers in the capacity of independent financial advisers; acting as sponsor in IPO exercises, advising companies on compliance requirements; and acting as compliance adviser to listed companies post-IPO.

The main role of a compliance adviser is to ensure that the listed company is properly guided and advised as to compliance with the GEM Listing Rules or the Listing Rules (as the case may be) and all other applicable rules, laws, codes and guidelines.

In addition, we, as a sponsor, introduce and liaise with a syndicate of underwriters to assist the proposed listing applicant in placing the offering shares to professional investors, institutional and individual investors and to underwrite such offering shares.