Corporate Finance Advisory
We provide corporate finance advisory services 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 activityunder the SFO since April 2009. Our corporate finance advisory services mainly include,

(i) advising on transactions or compliance matters under the Listing Rules, the GEM Listing Rules or the Takeovers Code in the capacity of financial advisers;
(ii) giving opinion or recommendation to the independent board committee and independent shareholders of our customers in the capacity of independent financial advisers;
(iii) acting as sponsor in IPO exercises, advising companies on compliancerequirements; and
(iv) acting as compliance adviser to listed companies post-IPO.

As financial advisers to our customers, we generally give advice to our customers on the structure of the proposed transactions, and the relevant implications of the proposed transactions to the customers under the Hong Kong regulatory framework including the Listing Rules, the GEM Listing Rules and the Takeovers Code. We are usually responsible for monitoring the progress of the proposed transactions. We are also in charge of documentation preparation and liaising with the relevant regulatory bodies (such as the Stock Exchange and the SFC) for the clearance and/or publication of relevant announcements, circulars and other documents as required for the proposed transactions.

As an independent financial adviser, we conduct reviews and analyses on the proposed transactions, assess the fairness and reasonableness on the terms of the proposed transactions and issue advice letters (with our bases and grounds) to recommend the independent board committee.

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.
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