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Initial Screening of Financing Goals and Paths
Understand funding requirements, use, the term, Currency, Repayment or equity arrangement, Distinguish debts, Equity and IPO preparation.
Service Overview
Overseas financing may include equity investment, Private financing, Debt financing or listing-related transactions. Each type of path for financing entities, Equity structure, financial information, Guarantee arrangement, Investor Qualification, The requirements for information disclosure and regulatory approval are different.
This service serves as an entry point for financing project preparation and professional collaboration., Can assist in organizing financing needs within the scope confirmed by both parties, Use of funds, Company structure, Basic financial and due diligence information, Identification must be done by a lawyer, auditor, Issues reviewed by investment banks or licensed intermediaries. Securities issuance, Investment advice, Underwriting, Placement, Transaction matching and financing activities of regulated enterprises should be provided by institutions with the corresponding licenses in accordance with the law..
We do not represent the funders or investors, No commitment to valuation, Investment intention, Financing Amount, Successful listing or funds received. Financing decisions are made by the financer, investor, Financial institutions and regulatory agencies make decisions independently.
Consultation on overseas financing plans and project preparation: Processing conditions, List of Materials and Official References
Consultation on overseas financing schemes and project preparation based on financing methods and market (banks, bond, Equity) Supervisor. Is it applicable, Handle according to which category of matters, Depends on the subject qualifications, Business activities and actual location/personnel arrangements; Newly established under the same name, change, continue, Cancellation handled separately, Cannot replace each other.
30 Second key point
- Competent authority: By financing method and market (bank, bond, Equity
- First, look at the conditions: Regulatory authorities and applicable laws: By financing method and market (bank, bond, Equity, Pursuant to applicable securities and banking regulations.
- Approval cycle: 4–12 weeks
- Validity period: By project
- Supervisory/Approval Authority
- By financing method and market (bank, bond, Equity
- Main basis
- According to applicable securities and banking regulations (by financing method and market (bank, bond, Equity))
- Handling method
- Online declaration + window/on-site verification (depending on the matter)
- Validity period
- By project
Scope of application: First determine which category it belongs to
Situations that usually require handling:
- By financing method and market (bank, bond, Equity) Consulting on overseas financing plans and project preparation within the regulatory jurisdiction, Carry out the corresponding regulated business
- It is necessary to connect with the bank through a compliant licensed entity, Payment channel, Corporate clients or investors
Easily mistaken as needed, But situations that should be verified separately:
- Only for domestic customers, Entities not involved in overseas regulated businesses
- to hold on behalf of someone, Operating under someone else's license (explicitly prohibited by regulations)
Core Conditions (Checked Item by Item)
- Regulatory authorities and applicable laws: By financing method and market (bank, bond, Equity, Pursuant to applicable securities and banking regulations.
- Capital and Net Assets: Not applicable.
- Sort out financing needs and main structure
- Prepare a business plan, Financial Models and Due Diligence Materials
- Evaluate equity, Debt and convertible bond path
- Coordinate intermediary agencies
List of materials and common return points
| Material | Key Points / Common Reasons for Returned Items |
|---|---|
| Application Form and Business Plan | Need to specify the target market, Customer Type, Charging Model and Three-Year Financial Forecast |
| Company registration and equity structure documents | Penetrate to the ultimate beneficiary, Explain the source of funds |
| director, Executive and Responsible Personnel Resume | Including years of experience, Qualifications and No Criminal Record |
| Anti-Money Laundering and Compliance System | Including customer due diligence, Suspicious Transaction Report, Record keeping |
| Office Premises and Personnel Arrangement | Some jurisdictions require local entities to have local offices and local directors |
| Audit Report and Financial Statements | Issued by a licensed accountant as required by regulations |
Review and On-site Inspection Focus Points
- The background of shareholders and ultimate beneficiaries is unclear, Source of funds cannot be explained, is the most common reason for rejection.
- Business Model Description and Actual System, Contract does not comply, Will be questioned during the interview or on-site review stage.
- Compliance and anti-money laundering system copied from a template, No enforcement personnel, Difficult to pass censorship.
- Key personnel (responsible persons/compliance officers) are not permanently stationed or lack sufficient qualifications, Will directly affect approval.
time limit, Validity Period and Subsequent Obligations
| project | illustrate |
|---|---|
| Approval cycle | 4–12 weeks |
| Account opening and system integration | 2–8 weeks after approval |
| Validity and Renewal | By project |
| Ongoing obligation | Information disclosure, Compliance of fund usage, Cross-border Guarantee and Foreign Exchange Registration |
Cost structure (listed separately), Avoid vague punches
The cost is covered by the regulatory application fee (according to official standards), Local entities and office costs, Professional opinions (legal/audit/compliance) and advisory service fees; Annual maintenance fees and audit fees need to be budgeted separately.
Risk and Responsibility Boundaries
- A license does not equal a source of customers, Even after obtaining the license, it is still necessary to independently handle the market and channels.
- Regulatory requirements will be updated, The ongoing compliance cost is higher than the application cost.
- Apply using false materials or on behalf of someone else, May be revoked and held accountable.
Official Basis and Verification Entry
| Basis / Entrance | Issuing Authority | Verification method |
|---|---|---|
| Pursuant to applicable securities and banking regulations | By financing method and market (bank, bond, Equity | The current valid text shall prevail |
| By financing method and market (bank, bond, Equity | — | Visit |
Date of consultation of the above materials: 2026November 12. The provisions of the regulations shall be based on the officially published current text.; Service guidelines have regional differences and version updates, The actual acceptance requirements shall be subject to the standards of the accepting authority at the current period..
illustrate: This page is a guide for handling conditions and organizing materials, Does not constitute legal advice, Regulatory approval or approval commitment. Submit application, On-site verification, The issuance of certificates and the decision to open accounts are both independently made by the competent authority or the bank.; Specific scope of services, The costs and deliverables shall be subject to written authorization..
Scope of Services
Set financing target, Use of funds, Entity structure and due diligence preparation split into actionable items, Does not replace licensed financing intermediaries.
Verification of Financing Entity and Group Structure
Sort out borrower/issuer, Domestic and foreign shareholders, guarantee, Related-party transactions and existing financing restrictions.
Data and due diligence preparation
Organize company registration, finance, tax, contract, Equity, Intellectual Property and Compliance Materials Catalog.
Professional institution coordination and node management
Enact the law, audit, Valuation and licensed financing intermediary matters assigned to qualified institutions, Tracking materials and nodes.
Required Documents
Please provide the following basic information first; The documents required for the case will depend on the place of registration, Further confirmation of the main body and business arrangements.
- Financing Amount Range, Currency, use, Term and proposed repayment or equity arrangements.
- Financing entities and group structure, Equity, Director and Ultimate Beneficiary Information.
- Recent financial statements, Manage accounts, Tax declaration and main business contracts.
- Existing loan, guarantee, Major litigation, Intellectual Property and Regulatory Licensing Status.
Application Process
The financing path should first be determined by capital needs and company conditions., Then have the legal and transaction arrangements reviewed by a professional organization.
Financing Needs Interview
Confirm the purpose of the funds, time, Currency, Repayment source or equity arrangement.
Enterprise and Structural Information Organization
Sort out entities, shareholder, finance, contract, Assets and existing obligations.
Pathway and Gap Assessment
Distinguish potential equity, Debt or IPO-related preparatory matters, Labeling Authorization and Professional Review Requirements.
Participation of professional organizations and preparation of materials
By a lawyer, Auditors and licensed intermediaries are respectively responsible for their professional work, Enterprise cooperation with due diligence and information verification.
Transaction Advancement and Continuous Disclosure
Handle conditions according to the transaction documents and applicable rules, disclosure, Fund settlement and subsequent obligations.
Key Considerations
Involving securities issuance, Securities trading, Corporate Financing Opinions, During underwriting or allocation, May involve the applicable regional financial regulations and licensing system. Hong Kong SFC has specific requirements for regulated activities such as Type 6, The actual boundaries must be combined with the service content, Assessment of Compensation and Transaction Structure.
This service does not engage in unlicensed securities underwriting, Placement, Investment solicitation or capital matchmaking, No guarantee of obtaining investors, loan, Listing Qualification, Valuation or financing funds; Any financing arrangement must be reviewed by independent legal counsel, Financial and Compliance Review.
Related services: Overseas Listing Supporting IPO, Mergers and Acquisitions, Corporate due diligence, Cross-border enterprise architecture design consulting, Establishment of Hong Kong and offshore private equity funds
FAQs
No. Investors or financial institutions will independently review and decide whether to participate, Financing results cannot be guaranteed.
Financing requirements can be organized according to the confirmed scope, Company structure, Financial and due diligence materials, And coordinate qualified professional institutions.
There are differences. Equity financing focuses on equity and investment terms, Debt financing still needs to assess the source of repayment, Guarantees and covenant restrictions.
Not all preliminary preparations are necessary, But securities issuance, Corporate Financing Opinions, Underwriting or allotment may involve a license, Needs to be verified according to actual activities.
If it falls under regulated activities, Should be provided by an appropriately licensed institution in accordance with the law; This page does not promise matchmaking or allocation.
It is necessary to first inventory the missing materials and assess the impact., Investors or banks may request a supplementary audit, Financial or due diligence documents.
Can't. Valuation and listing decisions depend on the market, Corporate Quality, Professional review and regulatory procedures.
Access should be controlled, Establish a data room and disclosure records, Reviewed by a lawyer for confidentiality and data processing arrangements.