Checklists and Forms (GEM)

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

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.

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)

DU006G

Undertaking with regard to Directors appointed before 1 January 2009 (Part 2 of Form A of Appendix 6)

DU007G

Undertaking with regard to Directors of an Issuer incorporated in the PRC appointed before 1 January 2009 (Part 2 of Form B 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 a electronic format of the completed Placees Information Summary to the Exchange.