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Appendices

Updated: 30/04/2018

(Update No. 119)

Volume Two

Appendix 1 Contents of Listing Documents
B02A24241D934714AD273561037F6D6D Appendix 1A : Equity Securities
B02A24241D934714AD273561037F6D6D Appendix 1B : Equity Securities
B02A24241D934714AD273561037F6D6D Appendix 1C : Debt Securities
B02A24241D934714AD273561037F6D6D Appendix 1D : Structured Products
B02A24241D934714AD273561037F6D6D Appendix 1E : Depositary Receipts
B02A24241D934714AD273561037F6D6D Appendix 1F : Depositary Receipts
Appendix 2 Documents of Title
B02A24241D934714AD273561037F6D6D Appendix 2A : Temporary Documents of Title
B02A24241D934714AD273561037F6D6D Appendix 2B : Definitive Documents of Title
B02A24241D934714AD273561037F6D6D Appendix 3 Articles of Association
B02A24241D934714AD273561037F6D6D Appendix 4 Trust Deeds or Other Documents Securing or Constituting Debt Securities
Appendix 5 Forms Relating to Applications for Listing
B02A24241D934714AD273561037F6D6D Form A1 : Listing Application Form (For Equity Securities and Debt Securities)
B02A24241D934714AD273561037F6D6D Form A2 : Listing Application Form (For Collective Investment Schemes)
B02A24241D934714AD273561037F6D6D Form B : Declaration and Undertaking with regard to Directors
B02A24241D934714AD273561037F6D6D Form C1 : Formal Application (For Equity Securities)
B02A24241D934714AD273561037F6D6D Form C2 : Formal Application (For Debt Securities)
B02A24241D934714AD273561037F6D6D Form C3 : Formal Application (For Collective Investment Schemes)
B02A24241D934714AD273561037F6D6D 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)
B02A24241D934714AD273561037F6D6D Form D : Marketing Statement
B02A24241D934714AD273561037F6D6D Form E : Sponsor's Declaration
B02A24241D934714AD273561037F6D6D Form F : Declaration
B02A24241D934714AD273561037F6D6D Form G : [REPEALED]
B02A24241D934714AD273561037F6D6D Form H : Declaration and Undertaking with regard to Directors of an Issuer incorporated in the People's Republic of China (PRC)
B02A24241D934714AD273561037F6D6D Form I : Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the People's Republic of China (PRC)
B02A24241D934714AD273561037F6D6D Form J : Formal Application for Transfer of Listing of Equity Securities from the Growth Enterprise Market to the Main Board
B02A24241D934714AD273561037F6D6D Form K : Declaration of Directors and Supervisors with regard to a Transfer of Listing from GEM to the Main Board
B02A24241D934714AD273561037F6D6D Appendix 6 : Placing Guidelines for Equity Securities
B02A24241D934714AD273561037F6D6D Appendix 6A : [REPEALED]
Appendix 7 Listing Agreements (annotated)
B02A24241D934714AD273561037F6D6D Part A : [REPEALED]
B02A24241D934714AD273561037F6D6D Part B : [REPEALED]
B02A24241D934714AD273561037F6D6D Part C : Type of Security: Debt
B02A24241D934714AD273561037F6D6D Part D : Type of Security: Debt
B02A24241D934714AD273561037F6D6D Part E : Type of Security: Debt
B02A24241D934714AD273561037F6D6D Part F : [REPEALED]
B02A24241D934714AD273561037F6D6D Part G : Type of Security: Interests in Collective Investment Schemes
B02A24241D934714AD273561037F6D6D Part H : Type of Security: Structured Products
B02A24241D934714AD273561037F6D6D Part I : [REPEALED]
B02A24241D934714AD273561037F6D6D Appendix 8 : Listing Fees, Transaction Levies on New Issues and Brokerage
B02A24241D934714AD273561037F6D6D Appendix 9 : [REPEALED]
B02A24241D934714AD273561037F6D6D Appendix 10 : Model Code for Securities Transactions by Directors of Listed Issuers
Appendix 11 Model Forms of Formal Notice
B02A24241D934714AD273561037F6D6D Form A : Model form of Formal Notice for Sale or Subscription
B02A24241D934714AD273561037F6D6D Form B : Model form of Formal Notice for Introductions
B02A24241D934714AD273561037F6D6D Form C : Model form of Formal Notice for Placings
B02A24241D934714AD273561037F6D6D Form D : Model form of Formal Notice for Debt Issues to Professional Investors Only
B02A24241D934714AD273561037F6D6D Appendix 12 : Securities and Futures (Stock Market Listing) Rules
Appendix 13 Additional Requirements in Respect of Certain Jurisdictions
B02A24241D934714AD273561037F6D6D Part A : Bermuda
B02A24241D934714AD273561037F6D6D Part B : The Cayman Islands
B02A24241D934714AD273561037F6D6D Part C : The Cook Islands
B02A24241D934714AD273561037F6D6D Part D : The People's Republic of China
B02A24241D934714AD273561037F6D6D Appendix 14 : Corporate Governance Code and Corporate Governance Report
B02A24241D934714AD273561037F6D6D Appendix 15 : [REPEALED]
B02A24241D934714AD273561037F6D6D Appendix 16 : Disclosure of Financial Information
B02A24241D934714AD273561037F6D6D Appendix 17 : Sponsor's Undertaking and Statement of Independence
B02A24241D934714AD273561037F6D6D Appendix 18 : [REPEALED]
B02A24241D934714AD273561037F6D6D Appendix 19 : Sponsor's Declaration
B02A24241D934714AD273561037F6D6D Appendix 20 : Compliance Adviser's Undertaking
B02A24241D934714AD273561037F6D6D Appendix 21 : Independent Financial Adviser's Independent Declaration
B02A24241D934714AD273561037F6D6D Appendix 22 : Independent Financial Adviser's Undertaking
B02A24241D934714AD273561037F6D6D Appendix 23 : [MERGED WITH APPENDIX 14]
B02A24241D934714AD273561037F6D6D Appendix 24: Headline Categories
B02A24241D934714AD273561037F6D6D Appendix 25: Content of a Competent Person’s Report for Petroleum Reserves
and Resources
B02A24241D934714AD273561037F6D6D Appendix 26: Summary Form of Disclosure for Property Interests
B02A24241D934714AD273561037F6D6D Appendix 27: Environmental, Social and Governance Reporting Guide
B02A24241D934714AD273561037F6D6D Appendix 28: Transitional Arrangements for Eligible Issuers

Note

A reprint date or update date appears on the top of each page of the printed version. This could be used as a reference to check whether that page carries the most current version.

 


Updated 15 Feb 2018

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