Notices
 Published Date: 23 February 2023

Notice SFA 04-N21 on Business Conduct Requirements for Corporate Finance Advisers

Requirements for corporate finance advisers in relation to general business conduct and due diligence work.
Applies to: Corporate Finance Advisory , Exempt Capital Markets Services Entity
View Notice Notice SFA 04-N21 on Business Conduct Requirements for Corporate Finance Advisers (200.2 KB)
This Notice sets out specific requirements for corporate finance advisers to manage conflicts of interest and ensure proper governance and supervision. It also imposes detailed requirements on the conduct of due diligence, which apply to advisers acting in the capacity of an issue manager, sponsor or financial adviser (as the case may be) for initial public offers and reverse takeovers, including business combinations.

Amendment Notes

23 February 2023
SFA 04-N21 dated on 23 Feb 2023 (197.5 KB) is issued.