Investor Communication Guidelines under Confidential Filing
Resource | Equity Capital Markets | August 2026
Hong Kong
Industry Placee Entry Templates for FINI
Resource | Equity Capital Markets | October 2024
As of September 2026 – Please find below the updated FINI templates, which have been amended to reflect the HKEX's FAQ 3 regarding the exempt categories of placees.
Cornerstone Investment Agreement
Resource | Equity Capital Markets | April 2024
Prepared with the kind assistance of Kirkland & Ellis, Latham & Watkins, Clifford Chance and Herbert Smith Freehills.
Standardized Secondary Block Trade Agreements – Hong Kong
Resource | Equity Capital Markets | June 2024
Standardised Block Trade Agreements between Hong Kong, Taiwan, Singapore, Indonesia, Philippines and India.
ASIFMA Top Up Placing and Subscription Agreement (20230331)
Resource | Equity Capital Markets | March 2023
China
Proposed Riders to ECM Engagement Letters and Transaction Documents following the New CSRC Filling Rules (20230405)
Resource | Equity Capital Markets | April 2023
Korea
Regional
Standardized Secondary Block Trade Agreements – SE Asia & India
Resource | Equity Capital Markets | July 2024
Standardised Block Trade Agreements between Hong Kong, Taiwan, Singapore, Indonesia, Philippines and India.
ASIFMA ECMC - Meeting minutes of MAS Notice on Business Conduct Requirements for Corporate Finance Advisers
Resource | Equity Capital Markets | October 2023
International
Briefing Note - Practical Effect of the U.S. QFC Stay Rules Express Acknowledgement Language
Resource | Equity Capital Markets | June 2019
Briefing Note - U.S. QFC Stay Rules – Impact on Equity Capital Markets Transactions
Resource | Equity Capital Markets | June 2019
CFA Code / Valuation Advisory Services – Engagement Letter Riders
Resource | Equity Capital Markets | May 2017
Suggested riders to include in a financial advisor’s engagement letter in relation to services that fall within the scope of the Circular to Financial Advisers in relation to their Advisory Work on Valuations in Corporate Transactions issued by the SFC on 15 May 2017 (the "Circular").
