Checklists and Forms (New Applicants) 

Last updated in November 2016

 

The following checklists and forms are for applications submitted on or after 1 October 2013.

For applications submitted before 1 October 2013, please click here

 

Document Template Code Document Template Name
Main Board
M100 Main Board : Composite Package of Checklists and Forms for New Listing Applications (This document contains all the Main Board checklists and forms cited below) 
M101 Main Board : Table of Contents of Checklists and Forms for New Listing Applications
M102 Main Board : Table of Contents of Checklists and Forms for New Listing Applications (EXCEL)
Checklists and Forms for New Listing Applications under Chapters 8 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 Prospectus
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)

FF001M Main Board : IPO - Authorised representatives / Company Secretary form
M115 Main Board : IPO - Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) or Statement made under Main Board Rule 9.08(2)(c)
To be submitted after A1 submission (if applicable)
M115 Main Board : IPO - Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) or Statement made under Main Board Rule 9.08(2)(c)
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 Application Proof or Post Hearing Information Pack (PHIP) or Statement made under Main Board Rule 9.08(2)(c)
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 under Chapter 9A

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 circular where the transfer application is made by an infrastructure company, mineral company or investment company

MT007

Main Board : IPO -  Undertaking to inform the Exchange of a change in the circumstances with regard to qualifications for a transfer of listing from GEM to Main Board

MT008

Main Board : IPO -  Issuer’s authorisation for filing with the Securities and Futures Commission

MT009 Main Board : IPO -  New listing particulars
MT010 Main Board : IPO -  Standard Comments: To be addressed when replying to our first comment letter
Checklists and Forms for Collective Investment Schemes under Chapter 20 (Please refer to Attachment 1 of Guidance Letter HKEx-GL79-14)
Where Main Board rule 20.25 applies, to be submitted when the new CIS applicant files an authorised application with SFC
CIS001 Main Board : Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP)
To be submitted together with Form 5A2
CIS002 Main Board : Form 5A2 - Listing application Form (For Collective Investment Schemes)
CIS003 Main Board : Form 7G - Listing Agreement (For Collective Investment Schemes)
CIS001 Where Main Board rule 20.26 applies
Main Board : Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP)
To be submitted after the issue of the listing document but before dealings commence
CIS004 Main Board : Issue of Listing Document – Confirmation Letter of SFC’s authorisation
Where there is an IPO of the CIS Units, to be submitted after the issue of the listing document but before dealings commence
CIS005 Main Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage
CIS006 Main Board : IPO - Form D - Marketing Statement
CIS007 Main Board : IPO - Placee information sheet
GEM Board
G100 GEM Board : Composite Package of Checklists and Forms for New Listing Applications (This document contains all the GEM Board checklists and forms cited below)
G101  GEM Board : Table of Contents of Checklist and Forms For New Listing Applications
G102 GEM Board : Table of Contents of Checklist and Forms for New Listing Applications (EXCEL) 
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 Prospectus
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 or Post Hearing Information Pack (PHIP) or Statement made under GEM Rule 12.10(2)(c)

To be submitted after 5A submission (if applicable)

G115 GEM Board : IPO - Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) or 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 Application Proof or Post Hearing Information Pack (PHIP) or Statement made under GEM Rule 12.10(2)(c)
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