Investment Banking

Licensed with the SFC to carry out Type 1 (dealing in securities) and Type 6 (corporate finance) regulated activities, we are one of the most active local investment banks in Hong Kong, providing corporate finance advisory services and equity capital market services.

Corporate Finance

Our corporate finance advisory services mainly comprise the following services:

  • IPO sponsorship services: We act as sponsors to companies pursuing listing on the Main Board and GEM of the Stock Exchange.
  • Financial and independent financial advisory services:
(i) financial advisers to clients to advise them on the terms and structures of the proposed transactions, and the relevant implications and compliance matters under the Hong Kong regulatory framework.
(ii) independent financial advisers giving opinions or recommendations to the independent board committee and independent shareholders of listed companies.
 
  • Compliance advisory services: We act as compliance advisers to listed companies on the Main Board or GEM of the Stock Exchange and advise them on post-listing compliance matters.
 
Our competitive advantage:
  • Professional Team:
Our corporate finance team comprises of more than 20 professional executives with extensive industry experience and outstanding execution skills.
  • Diverse Clientele:
Our clients come from different industries or sectors and geographical locations, from large conglomerates and SOEs to SMEs and from listed to private enterprises.
  • Prominent Track Record:
We have completed  35 IPO sponsorship projects and numerous M&As, financial advisory, independent financial advisory and compliance
  • Extensive Investor base:
We and our team have accumulated extensive investor client base through the past experience and successful track record so that we can introduce high quality investors for our equity capital markets projects.

Equity Capital Market

Leveraged on our strong investor client base including institutional investors, high net worth investors and retail investors, and our well-established distribution channel and network of different financial products, we provide our equity capital market services to our clients by acting as:
 
    • IPOs as global coordinators, bookrunners, lead managers or underwriters. We also participate as placing agents in private equity fund raising projects.
   
    • placing or sub-placing agent for issue of new shares or derivatives by listed companies;
 
   
    • underwriter for rights issues or open offers by listed issuers;
 
   
    • placing agent for private equity fund raisings by unlisted issuers.
 
Our competitive advantage:
  • One-stop integrated service:
    • Complemented by our dealing and brokerage service, securities financing service and corporate finance service, we provide one-stop integrated equity capital markets service to our clients.
    • Remarkable underwriting capability:
    Since our establishment, we have participated in 82 placing and underwriting projects, involving fund raising amount of more than HK$104 billion.
  • Prominent Track Record:
    • We and our team have accumulated extensive investor client base through the past experience and successful track record so that we can introduce high quality investors for our equity capital markets projects.