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Checklists and forms for applications submitted on or after 15 February 2018

Last updated in July 2018

 

The following checklists and forms are for applications submitted on or after 15 February 2018.

For applications submitted before 15 February 2018, please click here

 

Document Template Code Document Template Name
Main Board
M101 Main Board: Table of Contents of Checklists and Forms for New Listing Applications
Checklists and Forms for New Listing Applications under Chapters 8, 9A (GEM transfer applications not under transitional arrangements in Appendix 28), 18 and 21 
To be submitted together with Form A1
M103 Main Board : IPO - Form A1 - Listing Application Form (For Equity Securities & Debt Securities)
M104 Main Board : IPO - Additional information to be submitted together with the Form A1
M105 Main Board : IPO - Basic qualifications for new listing
M106 Main Board : IPO - Basic requirements for contents of listing document
M107  Main Board : IPO - Property valuation
M108 Main Board : IPO - Accountants' report
M109  Main Board : IPO - Sponsor's Undertaking and Statement of Independence (Appendix 17)
M110 Main Board : IPO - Confirmation and undertaking with regard to Biographical Information of Directors and Supervisors and Information in the Application Proof
M111 Main Board : IPO - Market comparable analysis
M112 Main Board : IPO - Summary of non-exempted continuing connected transactions
M113  Main Board : IPO - Summary of key financial ratios during the track record period with explanation for fluctuation
M114  Main Board : IPO - Compliance Adviser's undertaking (Appendix 20) (not required for GEM transfer)
FF001M Main Board : IPO - Authorised representatives / Company Secretary form
M115  Main Board : IPO - Confirmation with regard to posting of Application Proof
M116 Main Board : IPO - Reporting accountant’s confirmation – no significant adjustment
M117 Main Board : IPO - Expert’s confirmation – no material changes
To be submitted after A1 submission (if applicable)
M115 
Main Board: IPO – Confirmation with regard to posting of Statement made under Main Board Rule 9.08(2)(c) (if any)
To be submitted at least 4 clear business days before the expected hearing date
M201  Main Board : IPO - New listing particulars
To be submitted on or before bulk printing of the listing document
M115 Main Board: IPO – Confirmation with regard to posting of Post Hearing Information Pack (PHIP) (not required for GEM transfer)
To be submitted on or before the issue of the listing document
M301  Main Board : IPO -  IPO Prospectus -Confirmation letter
M302  Main Board : IPO - Sponsor's Declaration (Appendix 19)
To be submitted after the issue of the listing document but before dealings commence
FFD003M Main Board : IPO - Form D – Marketing Statement
M401 Main Board : IPO - Form E – Sponsor’s Declaration
M402 Main Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage
FFD004M Main Board : IPO - Form F – Declaration
CI205M  Main Board : IPO - Placee information sheet
DU003M Main Board : IPO - Form B – Declaration and undertaking with regard to Directors
DU004M  Main Board : IPO - Form H – Declaration and undertaking with regard to Directors of an issuer incorporated in the PRC
DU005M  Main Board : IPO - Form I – Declaration and undertaking with regard to Supervisors of an issuer incorporated in the PRC
Additional documents to be submitted for Chapter 21 company
To be submitted at least 4 clear business days before the expected hearing date
M501 Main Board : IPO - Form C3Z - Formal Application (For Open-ended Investment Companies, Unit Trusts, Mutual Funds and Other Collective Investment Schemes Governed by Chapter 21 of the Listing Rules)
To be submitted before bulk printing of the listing document
M502 Main Board : IPO – Listing Agreement (Chapter 21 Investment Companies)
Checklists and Forms for Transfer of Listing from GEM to Main Board for Eligible Issuers entitled to transitional arrangements under  Appendix 28 of the Main Board Rules 
For an Eligible Issuer (defined in Main Board Rule 9A.01A) with no change in principal businesses and controlling shareholders since listing on GEM and is not an infrastructure company or a mineral company (Category B Eligible Issuer)
To be submitted together with submission of Form 5J
MT001 
Main Board : IPO -  Documents to be submitted when making an application for Transfer of Listing from GEM to Main Board
MT002 
Main Board: IPO – Checklist and declaration – basic qualifications for transfer of equity listing
MT003 
Main Board: IPO – Form 5J – Formal Application (For Transfer of Listing from GEM to Main Board)
MT004  Main Board : IPO -  Form 5K - Declaration of Directors and Supervisors with regard to a Transfer of Listing from GEM to Main Board
MT005  Main Board : IPO -  Basic requirements for contents of announcement of transfer
MT006 Main Board : IPO - Basic requirements for contents of listing document where the transfer application is made by an infrastructure company, mineral company or investment company
MT009  Main Board: IPO – New listing particulars
M109 Main Board: IPO – Sponsor's Undertaking and Statement of Independence (Appendix 17)
To be submitted on or before issue of the GEM transfer announcement
M302  Main Board: IPO – Sponsor's Declaration (Appendix 19)
DU003M Form B – Declaration and undertaking with regard to Directors
DU004M 
Form H – Declaration and undertaking with regard to Directors of an issuer incorporated in the PRC
DU005M
Form I – Declaration and undertaking with regard to Supervisors of an issuer incorporated in the PRC
For an Eligible Issuer (defined in Main Board Rule 9A.01A) with change in principal businesses and/ or controlling shareholders since listing on GEM or is an infrastructure company or a mineral company (Category A Eligible Issuer)
To be submitted together with Form A1
MT002  Main Board: IPO – Checklist and declaration – basic qualifications for transfer of equity listing

Follow Checklists and Forms for New Listing Applications under Chapters 8, 9A and 21 
GEM Board
To be submitted together with Form 5A
G103  GEM Board : IPO - Form 5A - Application Form (Equity Securities) 
G104 GEM Board : IPO -  Additional Information to be submitted together with the Form  5A
G105 GEM Board : IPO - Basic qualifications for new listing
G106  GEM Board : IPO - Basic requirements for contents of listing document
G107  GEM Board : IPO - Property valuation
G108 GEM Board : IPO - Accountants' report
G109  GEM Board : IPO - Form 7K - Sponsor’s undertaking and statement of independence
G110 GEM Board : IPO - Confirmation and undertaking with regard to Biographical Information of Directors and Supervisors and Information in the Application Proof
G111 GEM Board : IPO -  Market comparable analysis
G112 GEM Board : IPO - Summary of non-exempted continuing connected transactions
G113  GEM Board : IPO -  Summary of key financial ratios during the track record period with explanation for fluctuation
FF211G GEM Board : IPO - Form 7H - Compliance Adviser's Declaration of Interests
G114  GEM Board : IPO -  Form 7M - Compliance Adviser's Undertaking
FF001G GEM Board : IPO - Authorised representatives / Compliance Officer / Company Secretary form
G115 GEM Board : IPO - Confirmation with regard to posting of Application Proof
G116 GEM Board : IPO - Reporting accountant’s confirmation – no significant adjustment
G117 GEM Board : IPO - Expert’s confirmation – no material changes
To be submitted after 5A submission (if applicable)
G115 GEM Board : IPO - Confirmation with regard to posting of Statement made under GEM Rule 12.10(2)(c)
To be submitted at least 4 clear business days before the expected hearing date
G201  GEM Board : IPO - New listing particulars
To be submitted before bulk printing of the listing document
G115 GEM Board : IPO - Confirmation with regard to posting of Post Hearing Information Pack (PHIP)
To be submitted on or before the issue of the listing document
G301 GEM Board : IPO - IPO Prospectus - Confirmation letter
G302  GEM Board : IPO - Form 7G - Sponsor's declaration in support of a new applicant
To be submitted after the issue of the listing document but before dealings commence
FF017G  GEM Board : IPO - Form 5D - Marketing statement
FF018G  GEM Board : IPO - Form 5E - Declaration of compliance
G401  GEM Board : IPO -  Form 7I - Sponsor's declaration of compliance concerning a new applicant
G402 GEM Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage
CI205G  GEM Board : IPO - Placee Information Sheet
DU003G  GEM Board : IPO - Form 6A - Director's Declaration, Undertaking and Acknowledgement
DU004G  GEM Board : IPO - Form 6B - Director's Declaration, Undertaking and Acknowledgement (PRC Issuer)
DU005G  GEM Board : IPO - Form 6C - Supervisor's Declaration, Undertaking and Acknowledgement (PRC Issuer)
FF003G  GEM Board : IPO - Form 5F - Company information sheet

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