China Securities Regulatory Commission, Guidelines for the Working Papers for the Sponsorship of the Offering and Listing of Securities (Draft for Comments)
中国证券监督管理委员会证券发行上市保荐业务工作底稿指引 (征求意见稿)
December 23, 2021 | BY
Susan MokMore details are required for working papers of securities sponsorship
Issued: November 19, 2021
Main contents: The provisions of these Guidelines are only the general requirements for the preparation of working papers when a sponsor engages in sponsorship for the offering and listing of securities. Regardless of express provisions herein, all documents, materials and information that have a material impact on the performance of sponsorship duties by the sponsor and its sponsor representatives shall be retained as working papers.
The draft adds on items that should be included in sponsorship working papers:
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