1. Checklists
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1.1 Checklists and Forms relating to Announcements and Trading Arrangements
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CF025M
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Basic Qualifications for Listing of a New Class of Equity Securities |
Note 1
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CF009M
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Issue of Securities, or Sale or Transfer of Treasury Shares for Cash – Announcement |
Note 5
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CF007M
|
Notifiable Transaction and Connected Transaction Announcement |
Note 2, 3
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CF006
(Filling Guide) |
Size Tests for Notifiable Transactions and Connected Transactions (e-Form) |
Note 2, 3, 7
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CF092
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References to Major Listing Rules Requirements related to Issuance of Securities, or Sale or Transfer of Treasury Shares |
Note 5
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CF093
(Filling Guide)
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Trading Arrangement Form (e-Form) |
Note 1, 7 |
1.2 Checklists relating to Circulars and Listing Documents
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i. Transactions
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CF016M
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Connected Transaction – Circular |
Note 4
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CF014M
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Major Acquisition / Very Substantial Acquisition / Extreme Transaction – Circular;
Reverse Takeover – Listing Document
|
Note 4 |
CF015M
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Major Realisation and Very Substantial Disposal – Circular |
Note 4
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ii. Issue of Securities, or Sale or Transfer of Treasury Shares
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CF017M
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Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities – Listing Document |
Note 4
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CF214M
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Issue of Securities, or Sale or Transfer of Treasury Shares (other than Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities/ Rights Issue/ Open Offer) – Listing Document |
Note 4
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CF026M
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Issue of Warrants, Options or Similar Rights under Chapter 15 – Circular |
Note 4
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CF011M
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Rights Issue/ Open Offer – Listing Document |
Note 4
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CF019M
|
Share Scheme – Circular |
Note 4
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CF028M
|
Supplemental Information for Investment Company – Listing Document |
Note 4
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CF005M
|
Supplemental Information for PRC Issuer – Listing Document |
Note 4
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iii. Others
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CF020M
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Explanatory Statements Relating to Share Repurchase by Listed Issuers
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Note 5
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CF021M
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Valuation of Properties Being Acquired or Disposed of |
Note 4
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1.3 Other Checklists
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CF023M
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Definitive Document of Title of Equity Securities |
Note 5
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2. Checklists relating to Documentary Requirements |
i. Transactions
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DR001M
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Connected Transactions
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Note 5
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DR002M
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Notifiable Transactions
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Note 5
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ii. Issue of Securities, or Sale or Transfer of Treasury Shares
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DR003M
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Adoption of Share Scheme/ Refreshment of Share Scheme Limit
|
Note 5
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DR004M
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Capital Reduction/ Share Consolidation/ Share Subdivision
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Note 5
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DR005M
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Capitalisation Issue (Bonus Issue/ Scrip Dividend Scheme)
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Note 5
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DR006M
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Issue of Unlisted Convertible Debt Securities
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Note 5
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DR007M
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Issue of Warrants/ Convertible Equity Securities
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Note 5
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DR008M
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Placing
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Note 5
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DR009M
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Rights Issue/ Open Offer
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Note 5
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iii. Others
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DR011
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Change of Company Name/ Addition of Chinese Name
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Note 5
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DR012M
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Change of Directors/ Supervisors
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Note 5
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3. Forms specified under the Listing Rules
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3.1 Monthly Returns and Next Day Disclosure Returns
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FF301
(Filling Guide)
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Monthly Return e-Form for Equity Issuers and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules (effective on 10 June 2024)
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Note 7
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FF302
(Filling Guide)
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Monthly Return e-Form for Collective Investment Schemes listed under Chapter 20 of the Exchange Listing Rules (other than listed open-ended Collective Investment Schemes) (effective on 10 June 2024)
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Note 7 |
FF303
(Filling Guide)
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Monthly Return e-Form on Movement of Open-ended Collective Investment Schemes listed under Chapter 20 of the Exchange Listing Rules
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Note 7
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FF304
(Filling Guide)
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Next Day Disclosure Return e-Form for Collective Investment Schemes under Chapter 20 of the Exchange Listing Rules (other than listed open-ended Collective Investment Schemes) (effective on 10 June 2024)
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Note 7
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FF305
(Filling Guide)
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Next Day Disclosure Return e-Form for Equity Issuers (effective on 10 June 2024)
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Note 7
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3.2 Forms relating to Application for Listing of Securities |
FFD001M*
(Filling Guide)
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Formal Application (For Equity Securities) (e-Form) (MB Regulatory Forms, Form C1, originally Appendix 5, Form C1)
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Note 7
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FFD007M*
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Formal Application (For Collective Investment Schemes) (MB Regulatory Forms, Form C3, originally Appendix 5, Form C3)
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FFD008M*
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Formal Application (For Open-Ended Investment Companies, Unit Trusts, Mutual Funds and Other Collective Investment Schemes Governed by Chapter 21 of the Listing Rules) (MB Regulatory Forms, Form C3Z, originally Appendix 5, Form C3Z)
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FFD003M*
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Marketing and Independence Statement (MB Regulatory Forms, Form D, originally Appendix 5, Form D)
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3.3 Forms relating to Directors and Supervisors (for appointments before 31 December 2023) |
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DU003M
(Filling Guide)
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Declaration and Undertaking with regard to Directors (e-Form) (Originally Appendix 5, Form B)
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Note 7
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DU004M
(Filling Guide)
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Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (e-Form) (Originally Appendix 5, Form H)
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Note 7
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DU005M
(Filling Guide)
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Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (e-Form) (Originally Appendix 5, Form I)
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Note 7
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4. Templates |
FF004
(Filling Guide)
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Personal Details Form (originally “Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (GEM only)”) (e-Form) (this form should be completed and submitted for appointments on or after 31 December 2023)
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Note 7
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FF005
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Blackout Period Notification Form
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Note 7
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CI205M
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Placees Information Summary
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Note 6
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5. Announcement Forms |
EF001
(Filling Guide)
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Cash Dividend Announcement Form
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Note 7
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EF002
(Filling Guide)
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Cash Dividend with currency option Announcement Form
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Note 7
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EF003
(Filling Guide)
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Cash Dividend with scrip option Announcement Form
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Note 7
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EF004
(Filling Guide)
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Cash Dividend with currency and scrip options Announcement Form
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Note 7
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EF005
(Filling Guide)
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Bonus issue of shares or warrants Announcement Form
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Note 7
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6. Forms relating to Meeting Notification |
IF001
(Filling Guide)
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Meeting Notification e-form
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Note 7
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