Rule Numbers (GEM Board) - Chapter 11
GEM Rule 11.10
- Whether Company A would be granted a waiver from the strict requirements of GEM Listing Rules 7.03(1) and 11.10 to the effect that the accountants' report that was included in its prospectus would not be required to include the financial information up to its latest financial year end [LD45-3] [First Quarter 2005]
GEM Rules 11.12
- Whether Company A operated one focused line of business given that it manufactured products in five distinct categories during the active business pursuit period [LD39-1] [August 2004]
- Whether Company A operated one focused line of business given that it had customers in four different business sectors during the active business pursuit period [LD39-2] [August 2004]
- Whether the requirements for substantially the same management and ownership throughout the active business pursuit period under GEM Listing Rule 11.12 were satisfied by aggregating the shareholding interests and control of a group of individual shareholders [LD51-5] [March 2006]
GEM Rule 11.12, Note 3
- Whether existing financial assistance from the controlling shareholders of a GEM listing applicant, in the form of guarantees or security in support of borrowings, should be permitted to continue on and after the date of listing [LD42-2] [December 2004]
GEM Rule 11.23
- Whether Company B would be regarded as a member of the public at the time of listing and whether shares held by it should be subject to lock-up in a case where Company B was entitled to hold approximately over 10% shareholding interest in Company A upon the conversion of the convertible bonds subscribed by it prior to listing [LD59-7] [August 2007]
GEM Rules 11.23(5) Note 3
- Pre-IPO placing-whether shares subject to lock-up and counted as part of public float (GEM Board) [LD36-2] [October 2003]