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First Capital International Finance Ltd

First Capital International Finance Limited has been conditionally* approved by the Securities & Futures Commission of Hong Kong (“SFC”) for a license to perform Type 6 regulated activity (advising on corporate finance) and provide financial advisory services on a non-sole basis on issues relating to the “Codes on Takeovers and Mergers and Shares Repurchases” (“Takeovers Code”) in Hong Kong under Chapter 571 of the Securities and Futures Ordinance of Hong Kong on 25 October 2016.

Incorporated in Hong Kong in February 2016, First Capital International Finance is composed of two businesses, namely the financial consulting and M&A business and the equity capital market (ECM) and financing advisory business.

THE SCOPE OF SERVICES OF FIRST CAPITAL INTERNATIONAL FINANCE

(1) Financial consulting and M&A business

As an M&A agency to assist customers in finding and selecting strategic investors and/or cross-border M&A targets

As a coordinator of M&A project, to help arrange and coordinate the order of partake of all necessary professional service providers (such as lawyers, auditors and valuers) in project execution, and negotiate the transaction and with all relevant parties in relation to the transaction on behalf of the client

To provide consultancy on financial matters (if necessary) including financial, legal, commercial and valuation due diligence in relation to an M&A target

For any project and/or transaction involving HK-listed company, in compliance with applicable Hong Kong Listing Rules and/or the GEM Listing Rules, as well as the Codes on Takeovers and Mergers and Share Repurchases, design the proposal for the client and/or advise the client on financial matters, including but not limited to:

  • M&A of controlling stake in HK–listed company;
  • Mandatory disclosure of transaction and/or connected transaction;
  • Application for resumption of trading; and
  • Rights issue and placement, etc.

(2) Equity capital market (ECM) and financing advisory business

To arrange IPO and underwriting and/or follow-on financing in the secondary capital market together with First Capital Securities under China First Capital Group

To assist execution of underwriting and/or placing projects and formulate capital market transactions

To assist by recommending strategic investor (if required)

To maintain the strategic investor and professional intermediary network

To provide customers with one-stop financing consultation services that meet their capital needs, including designing different financing solutions, such as:

  • Bridge financing;
  • Mortgage/ secured loans;
  • Private equity/ direct investment;
  • Bonds, bills and notes; and
  • Other related bridge financing models, etc.

*Note: First Capital International Finance will provide services according to the terms and conditions of the license.