Overseas Listing Supporting IPO

境外上市配套 IPO应先核对实际主体、Activities and this matter，Confirm registration separately again、Professional work and ongoing maintenance arrangements。First distinguish the continuity of the subject、Equity changes、Asset Transfer and Establishment of a New Entity。contract、Account、Whether the licenses and debts need to be updated separately，Should be confirmed in combination with actual transactions and applicable systems。

Nature of the matter and applicable boundaries

First distinguish the continuity of the subject、Equity changes、Asset Transfer and Establishment of a New Entity。contract、Account、Whether the licenses and debts need to be updated separately，Should be confirmed in combination with actual transactions and applicable systems。

Centered on the registration number，Establishment documents、All changes、Current articles of association and existing materials arranged correspondingly；When a name or personnel inconsistency is found，Indicate the time and basis for changes。

material、Responsibility and Result Verification

Cannot be presumed in this way。Internal approval、External registration、Separate assessment of contract consent and regulatory approval，Save each file and the effective nodes。

Clearly list the program study、Legal document review、Professional signature、Who is responsible for registration submission and handover respectively?；Verify the qualifications of the practitioner when carrying out regulated work，Do not equate coordination with statutory signing。

Check registration results、Current Articles of Association、Record book、Original、Accounts and banks and contract parties that need to be notified，You cannot use a single form sent by the service provider as proof of completion.。

Overseas Listing Supporting IPO：Processing conditions、List of Materials and Official References

境外上市配套 IPO由香港联交所/美国 SEC 等主管。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：香港联交所/美国 SEC 等
• First, look at the conditions：完成红筹/VIE 架构搭建与跨境登记。
• 准备期：9–18 个月
• Validity period：上市后须持续披露、Compliance operations。

Supervisory/Approval Authority

香港联交所/美国 SEC 等

Main basis

《证券及期货条例》与上市规则（香港交易所）；美国证券法与交易所规则（SEC/交易所）

Handling method

Online declaration + window/on-site verification (depending on the matter)

Validity period

上市后须持续披露、Compliance operations。

Scope of application：First determine which category it belongs to

Situations that usually require handling：

• 拟在香港或美国上市的境内企业
• 需要搭建境外架构、准备申报材料的企业

Easily mistaken as needed、But situations that should be verified separately：

• 仅需境外融资、无上市计划的企业

Core Conditions (Checked Item by Item)

1. 完成红筹/VIE 架构搭建与跨境登记。
2. 完成三年一期审计与内控规范。
3. 准备招股书与法律意见，回应监管问询。
4. 评估行业监管与数据合规要求。

List of materials and common return points

Organize according to acceptance criteria；portion、The requirements for original document verification shall be subject to the current list of the accepting authority.

Material	Key Points / Common Reasons for Returned Items
Audit report	按上市地准则
legal opinion
招股书草稿
架构与合规文件

Review and On-site Inspection Focus Points

• 历史沿革与股权代持未清理，是问询重点。
• 数据合规与行业牌照缺失会阻碍上市。
• 关联交易与同业竞争需提前解决。

time limit、Validity Period and Subsequent Obligations

project	illustrate
准备期	9–18 个月
审核期	3–12 个月
Validity and Renewal	上市后须持续披露、Compliance operations。

Cost structure (listed separately)，Avoid vague punches

按阶段计费；保荐人、lawyer、审计费用为主要成本。

Risk and Responsibility Boundaries

• 上市周期长，业务与市场变化可能导致计划中止。
• 架构重组成本高，失败后难以回退。

Official Basis and Verification Entry

Basis / Entrance	Issuing Authority	Verification method
《证券及期货条例》与上市规则	香港交易所	施行 现行有效；The current valid text shall prevail
美国证券法与交易所规则	SEC/交易所	施行 现行有效；The current valid text shall prevail
香港交易所	—	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.。

tidy：52Agency Website Cross-Border Services Team | Content Review：2026November 12Content Standards and Correction Policy

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.。

The following are directions for the initial communication and information verification，The official list is according to the current acceptance requirements、Confirmation of the subject and actual matters。

• Entity Registration、Existing qualifications and authorization materials
• Practical activity、contract、Transactions or assets and the corresponding supporting documents
• Equity、personnel、A truthful description of the location and this change
• Original notice、All previous handling records and the matters pending confirmation this time

This page is for the scope of matters and preparation instructions，Does not replace individual laws、tax、Audit or other professional opinions。Processing conditions、Government fees、Processing time and results are determined according to the applicable regulations and review.，No unified guarantee。

List the consultant's work separately before commissioning、government fees、Capital or balance requirements、Professional signing and other third-party fees；Check the final records and items that still need to be handled during the handover。