Checklists and Forms (Main Board) 

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 Main Board Rule 13.52B(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
CF025M

Basic Qualifications for Listing of a New Class of Equity Securities

Note 1
CF009M
Issue of Securities for Cash - Announcement
Note 5
CF007M
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
CF016M
Connected Transaction – Circular
Note 4
CF014M

Major Acquisition / Very Substantial Acquisition – Circular;                      

Reverse Takeover - Listing Document
Note 4
CF015M
Major Realisation and Very Substantial Disposal - Circular
Note 4
Issue of securities
CF017M
Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities – Listing Document
Note 4
CF214M
Issue of Securities (other than Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities/ Rights Issue/ Open Offer) - Listing Document
Note 4
CF026M
Issue of Warrants, Options or Similar Rights under Chapter 15 - Circular
Note 4
CF011M
Rights Issue/ Open Offer - Listing Document
Note 4
CF019M
Share Option Scheme – Circular
Note 4
CF028M
Supplemental Information for Investment Company - Listing Document
Note 4
CF005M
Supplemental Information for PRC Issuer - Listing Document
Note 4
Others
CF020M
Explanatory Statements Relating to Share Repurchase by Listed Issuers
Note 5
CF021M
Valuation of Properties Being Acquired or Disposed of
Note 4
III.  Other Checklists
CF023M
Definitive Document of Title of Equity Securities
Note 5

Template Code Part B: Checklists relating to Documentary Requirements Submission Requirement
Transactions
DR001M
Connected Transactions 
Note 5
DR002M
Notifiable Transactions 
Note 5
Issue of securities
DR003M
Adoption of Share Option Scheme/ Refreshment of Share Option Scheme Limit
Note 5
DR004M
Capital Reduction/ Share Consolidation/ Share Subdivision
Note 5
DR005M
Capitalisation Issue (Bonus Issue/ Scrip Dividend Scheme)
Note 5
DR006M
Issue of Unlisted Convertible Debt Securities
Note 5
DR007M
Issue of Warrants/ Convertible Equity Securities
Note 5
DR008M
Placing
Note 5
DR009M
Rights Issue/ Open Offer
Note 5
Others
DR010M
Amendments to Memorandum or Articles of Association or Equivalent Documents
Note 5
DR011
Change of Company Name/ Addition of Chinese Name
Note 5
DR012M
Change of Directors/ Supervisors
Note 5
DR013M
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
FF301M
Monthly Return for Equity Issuers (Listing Rule 13.25B)
FF302M
Monthly Return for Collective Investment Schemes listed under Chapter 20  other than listed open-ended Collective Investment Schemes (Paragraph 4B of Appendix 7G)
FF303M
Monthly Return for Open-ended Collective Investment Schemes listed under Chapter 20 (Paragraph 4B of Appendix 7G)
FF306M
Monthly Return for Hong Kong Depositary Receipts listed under Chapter 19B (Listing Rule 13.25B)
FF304M
Next Day Disclosure Return for Equity Issuers (Listing Rule 13.25A)
FF305M
Next Day Disclosure Return for Collective Investment Schemes listed under Chapter 20 other than listed open-ended Collective Investment Schemes (Paragraph 4A of Appendix 7G)
II.  Forms relating to Directors and Supervisors
DU003M
Declaration and Undertaking with regard to Directors (Form B of Appendix 5)
DU004M
Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Form H of Appendix 5)
DU005M
Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Form I of Appendix 5)
III.  Forms relating to Application for Listing of Securities
FFD004M
Declaration (Form F in Appendix 5)
FFD001M
Formal Application (For Equity Securities) (Form C1 in Appendix 5)
FFD007M
Formal Application (For Collective Investment Schemes) (Form C3 in Appendix 5)
FFD008M
Formal Application (For Open-Ended Investment Companies, Unit Trusts, Mutual Funds and Other Collective Investment Schemes Governed by Chapter 21 of the Listing Rules) (Form C3Z in Appendix 5)
FFD003M
Marketing Statement  (Form D in Appendix 5)

Template Code Part D: Templates

Submission Requirement

FF001M
Authorised Representatives/ Company Secretary Form
CI205M
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 Main Board Rule 13.52B(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 Main Board Rule 13.52(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 Main Board Rule 13.52(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. A listed issuer must submit an electronic format of the completed Placees Information Summary to the Exchange.