港股上市文件中的“整体协调人”和“资本市场中介人”分别指的是什么?英文如何表述?

港股上市文件中的“整体协调人”和“资本市场中介人”分别指的是什么?英文如何表述?

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2022年8月5日起生效的港交所新规规定,“如属首次公开发售,发行人必须在递交上市申请后两个星期内委聘整体协调人”,如属主板首次公开发售,则必须在递交上市申请前不少于两个月委任保荐人兼整体协调人,其必须与独立保荐人属同一法律实体或同一公司集团,两者的委任亦必须同时作出。


整体协调人,指负责对簿记建档流程进行全面管理的银团资本市场中介人(该角色传统上被称为“账簿管理人”)。只要银团资本市场中介人对发售进行全盘管理、协调由其他资本市场中介人进行簿记建档或配售活动、对簿记建档活动行使控制权,以及向发行人作出分配建议和超额配股行使酌情权等活动,其就会被界定为「整体协调人」。


整体协调人可用“overall coordinator”来表示。The OC is the “head of syndicates” responsible for the overall management of the share or debt offering, coordination of bookbuilding or placing activities, and exercise control over bookbuilding activities and market allocation recommendations to the issuer. In order to address deficiencies in bookbuilding and allocation practices, the SFC has expanded the role of an OC in paragraph 21 of the Code。


资本市场中介人,指根据《证券及期货条例》(证券及期货条例)获得许可或注册并从事如簿记建档和配售活动的实体。银团资本市场中介人指由发行人直接聘用的资本市场中介人。经证监会许可并在交易中担任承销商的投资银行都是资本市场中介人。


资本市场中介人可用“capital market intermediary”来表示。Entities that help the issuing company and investing investors to perform various transactions in capital market are called as capital market intermediaries.


以下为港股上市时需要向港交所提交的整体协调人公告中的部分双语内容,供参考:


本公告乃根据香港联合交易所有限公司(「联交所」)以及证券及期货事务监察委员会(「证监会」)的要求而刊发,仅用作提供信息予香港公众人士。 阁下阅览本公告,即表示阁下知悉、接纳并向洲际船务集团控股有限公司(「本公司」)、其独家保荐人、整体协调人、顾问或包销团成员表示同意:

The publication of this announcement is required by The Stock Exchange of Hong Kong Limited (the ‘‘Exchange’’) and the Securities and Futures Commission (the ‘‘Commission’’) solely for the purpose of providing information to the public in Hong Kong. By viewing this announcement, you acknowledge, accept and agree with Seacon Shipping Group Holdings Limited 洲际船务集团控股有限公司 (the ‘‘Company’’), its sole sponsor, overall coordinator, advisers or members of the underwriting syndicate that:


(a)在联交所网站刊发本公告并不导致本公司、其独家保荐人、整体协调人、顾问或包销团成员有义务在香港或任何其他司法权区进行发售或配售,概不保证本公司将进行发售或配售;

the publication of this announcement on the Exchange’s website does not give rise to any obligation of the Company, its sole sponsor, overall coordinator, advisers or members of the underwriting syndicate to proceed with an offering or a placing in Hong Kong or any other jurisdiction. There is no assurance that the Company will proceed with the offering or the placing;


(b)与本公告有关的申请尚未获批准上市,联交所及证监会可接纳、退回或拒绝有关公开发售及╱或上市的申请;

the application to which this announcement relates has not been approved for listing and the Exchange and the Commission may accept, return or reject the application for the subject public offering and/or listing;


(c)本公告不应被视为诱使认购或购买任何证券,亦不拟构成该等劝诱;

this announcement must not be regarded as an inducement to subscribe for or purchase any securities, and no such inducement is intended;


(d)本公司或其任何联属人士、其顾问或包销团成员概无于任何司法权区透过刊发本公告而发售任何证券或征求认购任何证券的要约或购买任何证券。

neither the Company nor any of its affiliates, its advisers or the members of the underwriting syndicate is offering, or is soliciting offers to subscribe for or purchase, any securities in any jurisdiction through the publication of this announcement.

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