Investment Banking

Customize professional financial solutions with a clear of customer needs

Carter & James Limited provides clients with customer-centric, best-in-class advisory services anchored in deep China insight and global experience through a licensed company operating under the Group flagship. We constantly seek to move on opportunities that help clients unlock and capitalize on hidden value both at home and abroad. Carter & James Limited is licensed by the Hong Kong Securities and Futures Commission to provide advisory services on corporate finance as well as provide asset management. Carter & James Limited is also a qualified IPO sponsor.

Comprehensive scope of services

1. As a Sponsor and Underwriter - sponsor the listing of companies and provide IPO shares underwriting services:

- Proposing feasibility report as preliminary analysis

- Preparing due diligence and formulation of listing plans

- Assisting company to restructure and to develop clear strategic plans

- Assisting companies with prospectus drafting and production

- Submitting IPO applications to regulatory organizations and conducting effective communication to secure listing approval

- Recommending the company to global investors to ensure success of global issue of shares

- Providing clients with integrated post-IPO services on a continual basis, in a bid to enable them become outstanding listed companies and investors to secure ideal returns

- Providing clients with financing services, based on their unique characteristics and market conditions

- Financing methods include: private/public placement, note issuance, convertible bonds

2. As a Financial Advisor - provide seamless advice:

- Assisting clients with professional analysis on various financial activities, including valuation, price determination, structured transactions, capital raising and risk control, etc.

- Providing financial consultancy on IPO activities in compliance with listing requirements and regulations, including required disclosure of transactions, privatization, corporate restructuring, share subdivision and merger, shares repurchase, issue of new shares, rights issue of shares and capital reduction and asset injection, etc.

3. As a M&A Advisor - provide professional, tailor - made operational solutions and helping to put these in place:

- Leveraging on Carter & James Limited profound and unique insights into the requirements for corporate operations and IPO regulations to provide customers with the best operational strategies

- Lining up comprehensive financing support when providing sophisticated solutions