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The template provides drafting instructions, optional bracketed language, and a framework to tailor the mandate’s designation, roles and responsibilities, and fee arrangements. It also includes disclaimers limiting reliance, warranties, and update obligations, and sets the basis for a written agreement or email form signed by authorized representatives.","DISCLAIMER\nAny person using the Template shall be deemed to have read, understood and agreed to the terms set out below:\n(i)              This document Template (\"Template\") is provided solely as a guide and is not intended to be, and must not be regarded or relied upon as, legal or other professional advice or opinions on any matters.  Use of the Template is voluntary. You are advised to seek your own professional advice as necessary.\n(ii)             All market participants executing a “written agreement” to fulfill obligations under Paragraph 21 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission are responsible for exercising their own independent judgment as to: (a) what information, and in what form, they should require the company/seller/manager to comply with their legal and regulatory obligations; (b) the sufficiency, accuracy, completeness and relevance of any information provided by any company/seller/manager; and (c) whether a particular agreement or mode of execution is appropriate under the particular circumstances and conditions applicable to them.\n(iii)            Any description of legal or regulatory provisions in the Template is for informational and summary purposes only and is not intended to convey the full extent or details of regulatory obligations that may apply to any firm or individual. Any persons using this Template are encouraged to undertake their own review of relevant laws, rules, codes, guidelines and circulars and other materials, and are responsible for making their own determination as to their legal and regulatory obligations.\n(v)             ASIFMA, its member firms and any other persons who have contributed to the development of the Template: (a) accept no responsibility or liability in any form for any errors or omissions in the Template or for any losses or damages howsoever arising from, including any act or inaction in reliance on, any of its contents or omissions; (b) make no representations or warranties of any kind and specifically disclaim any implied representations or warranties of merchantability, fitness for a particular purpose, completeness or accuracy of the Template; (c) make no representations that the use of or reference to the Template will satisfy any legal, regulatory or other obligations; and (d) disclaim any on-going duty or obligation to update or revise the Template or notify any persons of changes to laws, regulations or regulatory guidance that may affect the use or application of the Template.\nThe Template has been created for the benefit of all industry participants. It is not owned, copyrighted or protected by ASIFMA.\n\u000f\nOC/SCMI Short Form Appointment Letter – Hong Kong\nPursuant to Paragraph 21 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (the “Code”)\nInstructions for use:\nBelow is proposed text for a form of agreement to be used to confirm the appointment of an OC or Syndicate CMI by an issuer in connection with a capital markets offering pursuant to Paragraphs 21.3.2 and 21.4.1 of the Code.\nThe form should be modified to reflect the specific circumstances of the mandate, including designation of the role (e.g., OC, SCMI), roles and responsibilities of designated roles, the fee arrangements and fee payment schedule.\nThis form includes language that is in [brackets] that may be considered optional depending on the circumstances.\nDelete all footnotes and drafting instructions before sending to an issuer.\nIt is contemplated that this form may be used to create a written agreement to be signed by each of the parties or formatted into the body of an email to be agreed to by authorized representatives of each party.\n***\n[Date]\n[Name of Company]\n[Address]\n[Address]\nAttention: [   ]\n[Addressee(s)]:\nOverview/Appointment of [Syndicate Capital Markets Intermediary]/[Overall Coordinator and Syndicate Capital Markets Intermediary]]\nWe are pleased to confirm our ","cbCaia2AzXGc7x2v","https://ap.wps.com/l/cbCaia2AzXGc7x2v","docx",44995,10,"English","en",105,"# Instructions for Use\n# Overview/Appointment\n## Appointment under the Code and Listing Rules\n# Roles and Responsibilities\n## SCMI\n## OC","[{\"question\":\"What is the purpose of the OC/SCMI short form appointment letter in Hong Kong?\",\"answer\":\"It confirms an issuer’s appointment of an OC and/or SCMI for a capital markets offering under Paragraph 21 of the relevant Code of Conduct.\"},{\"question\":\"Which legal basis does the appointment template reference?\",\"answer\":\"The template is made pursuant to Paragraph 21 of the Code and may include the Hong Kong Stock Exchange Listing Rules, as specified within the bracketed wording.\"},{\"question\":\"How should users customize the template before sending to an issuer?\",\"answer\":\"Users should modify the text to reflect the mandate’s specific circumstances, including the role designation, roles and responsibilities, and fee arrangements. They must delete all footnotes and drafting instructions and review optional bracketed language.\"}]","OC/SCMI Short Form Appointment Letter - Hong Kong | DOCX",1788194555,4,{"code":4,"msg":31,"data":32},"ok",{"site_id":24,"language":23,"slug":33,"title":14,"keywords":10,"description":15,"schema_data":34,"social_meta":84,"head_meta":86,"extra_data":88,"updated_unix":28},"ocscmi-short-form-appointment-letter-hong-kong",{"@graph":35,"@context":83},[36,52,66],{"@type":37,"itemListElement":38},"BreadcrumbList",[39,43,47,50],{"item":40,"name":41,"@type":42,"position":11},"https://docshare.wps.com","Home","ListItem",{"item":44,"name":45,"@type":42,"position":46},"https://docshare.wps.com/template/","Template",2,{"item":48,"name":13,"@type":42,"position":49},"https://docshare.wps.com/template/letters/",3,{"item":51,"name":14,"@type":42,"position":29},"https://docshare.wps.com/template/ocscmi-short-form-appointment-letter-hong-kong/166537/",{"url":51,"name":14,"@type":53,"author":54,"headline":14,"publisher":56,"fileFormat":59,"inLanguage":23,"description":15,"dateModified":60,"datePublished":60,"encodingFormat":59,"isAccessibleForFree":61,"interactionStatistic":62},"DigitalDocument",{"name":9,"@type":55},"Person",{"url":40,"name":57,"@type":58},"DocShare","Organization","application/vnd.openxmlformats-officedocument.wordprocessingml.document","2026-08-31",true,{"@type":63,"interactionType":64,"userInteractionCount":4},"InteractionCounter",{"@type":65},"ViewAction",{"@type":67,"mainEntity":68},"FAQPage",[69,75,79],{"name":70,"@type":71,"acceptedAnswer":72},"What is the purpose of the OC/SCMI short form appointment letter in Hong Kong?","Question",{"text":73,"@type":74},"It confirms an issuer’s appointment of an OC and/or SCMI for a capital markets offering under Paragraph 21 of the relevant Code of Conduct.","Answer",{"name":76,"@type":71,"acceptedAnswer":77},"Which legal basis does the appointment template reference?",{"text":78,"@type":74},"The template is made pursuant to Paragraph 21 of the Code and may include the Hong Kong Stock Exchange Listing Rules, as specified within the bracketed wording.",{"name":80,"@type":71,"acceptedAnswer":81},"How should users customize the template before sending to an issuer?",{"text":82,"@type":74},"Users should modify the text to reflect the mandate’s specific circumstances, including the role designation, roles and responsibilities, and fee arrangements. 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