Main Board Listing Rules 

(Update No. 117)

Volume Two


Appendix 1 Contents of Listing Documents

Appendix 1A :

Equity Securities

Appendix 1B :

Equity Securities

Appendix 1C :

Debt Securities

Appendix 1D :

Structured Products
Appendix 1E : Depositary Receipts
Appendix 1F : Depositary Receipts
Appendix 2 Documents of Title

Appendix 2A :

Temporary Documents of Title

Appendix 2B :

Definitive Documents of Title
Appendix 3 Articles of Association
Appendix 4 Trust Deeds or Other Documents Securing or Constituting Debt Securities
Appendix 5 Forms Relating to Applications for Listing
Form A1 : Listing Application Form (For Equity Securities and Debt Securities)
Form A2 : Listing Application Form (For Collective Investment Schemes)
Form B : Declaration and Undertaking with regard to Directors
Form C1 : Formal Application (For Equity Securities)
Form C2 : Formal Application (For Debt Securities)
Form C3 : Formal Application (For Collective Investment Schemes)
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)
Form D : Marketing Statement
Form E : Sponsor's Declaration
Form F : Declaration
Form H : Declaration and Undertaking with regard to Directors of an Issuer incorporated in the People's Republic of China (PRC)
Form I : Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the People's Republic of China (PRC)
Form J : Formal Application for Transfer of Listing of Equity Securities from the Growth Enterprise Market to the Main Board
Form K : Declaration of Directors and Supervisors with regard to a Transfer of Listing from GEM to the Main Board
Appendix 6 : Placing Guidelines for Equity Securities
Appendix 6A : [REPEALED]
Appendix 7 Listing Agreements (annotated)
Part C : Type of Security: Debt
Part D : Type of Security: Debt
Part E : Type of Security: Debt
Part G : Type of Security: Interests in Collective Investment Schemes
Part H : Type of Security: Structured Products
Appendix 8 : Listing Fees, Transaction Levies on New Issues and Brokerage
Appendix 9 : [REPEALED]
Appendix 10 : Model Code for Securities Transactions by Directors of Listed Issuers
Appendix 11 Model Forms of Formal Notice
Form A : Model form of Formal Notice for Sale or Subscription
Form B : Model form of Formal Notice for Introductions
Form C : Model form of Formal Notice for Placings
Form D : Model form of Formal Notice for Debt Issues to Professional Investors Only
Appendix 12 : Securities and Futures (Stock Market Listing) Rules
Appendix 13 Additional Requirements in Respect of Certain Jurisdictions
Part A : Bermuda
Part B : The Cayman Islands
Part C : The Cook Islands
Part D : The People's Republic of China
Appendix 14 : Corporate Governance Code and Corporate Governance Report
Appendix 15 : [REPEALED]
Appendix 16 : Disclosure of Financial Information
Appendix 17 : Sponsor's Undertaking and Statement of Independence
Appendix 18 : [REPEALED]
Appendix 19 : Sponsor's Declaration
Appendix 20 : Compliance Adviser's Undertaking
Appendix 21 : Independent Financial Adviser's Independent Declaration
Appendix 22 : Independent Financial Adviser's Undertaking
Appendix 23 : [MERGED WITH APPENDIX 14]
Appendix 24: Headline Categories
Appendix 25: Content of a Competent Person’s Report for Petroleum Reserves
and Resources
Appendix 26: Summary Form of Disclosure for Property Interests
Appendix 27: Environmental, Social and Governance Reporting Guide


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