Checklists and Forms (GEM) 

These checklists and forms are provided to assist compliance with the Listing Rules and administrative procedures.They:

1. highlight Listing Rule disclosure and specific compliance requirements on (i) the content of listed issuers’ documents (e.g. announcements, circulars) and (ii) particular transactions which are the subject of those documents.  These checklists are generally provided for guidance purpose, but may be required to be submitted to the Exchange under the circumstances stated in the notes under "Submission Requirements" in the list below (for example, disclosure checklists should be submitted with draft copies of pre-vetted documents). Please refer to Part A of the list below.

2. facilitate the provision of information required by the Exchange in specific circumstances. For example, information related to securities listed/ to be listed on the Exchange for the purpose of seeking the Exchange’s prior consent on the trading arrangements under GEM Rule 17.53B(1). Please refer to Part A of the list below.

3.

set out documentary requirements in respect of transactions and corporate actions taken by listed issuers.  Please refer to Part B of the list below.

4.

provide templates and forms specified under the Listing Rules. Please refer to Parts C and D of the list below.

The requirements and documents set out in the checklists and forms are not exhaustive. Depending on the circumstances of any particular case, the Exchange may request additional information/documents.

To download a checklist or form or template, please click on the relevant link below.

Template Code Part A: Checklist Submission Requirement
I.  Checklists and Forms relating to Announcements and Trading Arrangements
CF025G

Basic Qualifications for Listing of a New Class of Equity Securities

Note 1
CF009G
Issue of Securities for Cash - Announcement
Note 5
CF007G
Notifiable Transaction and Connected Transaction - Announcement
Note 2, 3
CF006
Size Tests for Notifiable Transactions and Connected Transactions
Note 2, 3
CF090
Trading Arrangement Form for Change of Board Lot Size, Share Consolidation or Subdivision
Note 1
CF091
Trading Arrangement for Rights Issue or Open Offer
Note 1
CF092
References to Major Listing Rules Requirements related to Issuance of Securities
Note 5
II.  Checklists relating to Circulars and Listing Documents
Transactions
CF016G
Connected Transaction – Circular
Note 4
CF014G

Major Acquisition – Circular

Note 4
CF015G
Major Realisation and Very Substantial Disposal - Circular
Note 4
CF008G

Very Substantial Acquisition - Circular;

Reverse Takeover - Listing Document
Note 4
Issue of securities
CF017G
Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities – Listing Document
Note 4
CF214G
Issue of Securities (other than Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities/ Rights Issue/ Open Offer) - Listing Document
Note 4
CF026G
Issue of Warrants, Options or Similar Rights Under Chapter 21 - Circular
Note 4
CF011G
Rights Issue/ Open Offer - Listing Document
Note 4
CF019G
Share Option Scheme – Circular
Note 4
CF005G
Supplemental Information for PRC Issuer - Listing Document
Note 4
Others
CF020G
Explanatory Statements Relating to Share Repurchase by Listed Issuers
Note 5
CF021G
Valuation of Properties Being Acquired or Disposed of
Note 4
III.  Other Checklists
CF023G
Definitive Document of Title of Equity Securities
Note 5

Template Code Part B: Checklists relating to Documentary Requirements Submission Requirement
Transactions
DR001G
Connected Transactions
Note 5
DR002G
Notifiable Transactions
Note 5
Issue of securities
DR003G
Adoption of Share Option Scheme/ Refreshment of Share Option Scheme Limit
Note 5
DR004G
Capital Reduction/ Share Consolidation/ Share Subdivision
Note 5
DR005G
Capitalisation Issue (Bonus Issue/ Scrip Dividend Scheme)
Note 5
DR006G
Issue of Unlisted Convertible Debt Securities
Note 5
DR007G
Issue of Warrants/ Convertible Equity Securities
Note 5
DR008G
Placing
Note 5
DR009G
Rights Issue/ Open Offer
Note 5
Others
DR010G
Amendments to Memorandum or Articles of Association or Equivalent Documents
Note 5
DR011
Change of Company Name/ Addition of Chinese Name
Note 5
DR012G
Change of Directors/ Supervisors
Note 5
DR013G
Explanatory Statements relating to Share Repurchases by Listed Issuers
Note 5

Template Code Part C: Forms specified under the Listing Rules Submission Requirement
I.  Monthly Returns and Next Day Disclosure Returns
FF301G
Monthly Return for Equity Issuers (GEM Listing Rule 17.27B)
FF304G
Next Day Disclosure Return for Equity Issuers (GEM Listing Rule 17.27A)
II.  Forms relating to Directors and Supervisors
DU003G
Director's Declaration, Undertaking and Acknowledgement (Form A of Appendix 6)
DU004G
Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (Form B of Appendix 6)
DU005G
Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (Form C of Appendix 6)
III.  Forms relating to Application for Listing of Securities
FF201G
Application Form - Equity Securities (of an issuer part of whose share capital is already listed) (Form B in Appendix 5)
FF211G
Compliance Adviser’s Declaration of Interests (Form H in Appendix 7)
FF018G
Declaration of Compliance (Form E of Appendix 5)
FF017G
Marketing Statement (concerning a placing of equity securities) (Form D in Appendix 5)
IV.  Other Forms
FF003G
Company Information Sheet (Form F in Appendix 5)
FF212G
Declaration in relation to Certain Listing Documents Issued by an Issuer (Form J in Appendix 7)

Template Code Part D: Other Forms

Submission Requirement

FF001G
Authorised Representatives/ Compliance Officer/ Company Secretary Form
CI205G
Placees Information Summary
Note 6

Notes relating to checklists:

1. A listed issuer must submit the duly completed form(s) to the Exchange for purposes of obtaining the Exchange’s consent in respect of trading arrangements under GEM Rule 17.53B(1).
2. For transactions of which the draft announcement is subject to pre-vetting by the Exchange, a listed issuer must submit the completed announcement checklist and size test checklist to the Exchange at the same time it submits the draft announcement to the Exchange for review under GEM Rule 17.53(2).
3. For transactions of which the draft announcement is not subject to pre-vetting by the Exchange, a listed issuer must submit the completed size test checklist to the Exchange on or before the publication of the announcement. It need not submit the announcement checklist unless requested by the Exchange (see also note 5).
4. A listed issuer must complete the relevant checklist and submit it to the Exchange at the same time it submits the draft circular/listing document to the Exchange for review under GEM Rule 17.53(1).
5. The Exchange may request information and/or documents to demonstrate compliance with the Listing Rules in individual cases. In such cases, the Exchange may request submission of the checklist(s).
6. The listed issuer must submit an electronic format of the completed Placees Information Summary to the Exchange.