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Checklists and forms for new applicants

Last updated in January 2022

Unless otherwise specified, all applications, correspondences and forms should be sent via electronic means to the Listing Division through the Exchange’s e-Submission System (ESS) (https://www1.eSubmission.hkex.com.hk) or by email.

Forms which are marked as “(e-form)” should be downloaded and submitted through ESS. In addition, the original signed e-Forms for listing application form and declaration and undertaking with regard to directors and supervisors should also be submitted physically to the following address before listing commences:

Hong Kong Exchanges and Clearing Limited
12/F, Two Exchange Square
8 Connaught Place, Central
Hong Kong

 

Document Template Code Document Template Name
To be submitted together with pre-IPO enquiries regarding the interpretation of the Listing Rules which are novel and specific / Form A1/ Form 5A
M119
(Filling Guide)
Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form 5A (e-Form)
M120 Template – Information Required from Overseas Issuer
To be submitted at least two months before the listing application
SE001
(Filling Guide)
Sponsor Engagement Notification (to be submitted together with the sponsor engagement letter) (e-Form)
To be submitted at least three business days before submission of the listing application
CN001 Request for Company Case Number
Main Board
M101 Main Board: Table of Contents of Checklists and Forms for New Listing Applications
Checklists and Forms for New Listing Applications under Chapters 8, 8A, 9A, 18, 18A, 18B, 19C and 21 
To be submitted together with Form A1
M103
(Filling Guide)
Main Board : IPO - Form A1 - Listing Application Form (For Equity Securities & Debt Securities) (e-Form)
M104 Main Board : IPO - Additional information to be submitted together with the Form A1
M105 Main Board : IPO - Basic qualifications for new listing
M106 Main Board : IPO - Basic requirements for contents of listing document
M107  Main Board : IPO - Property valuation
M108 Main Board : IPO - Accountants' report
M109  Main Board : IPO - Sponsor's Undertaking and Statement of Independence (Appendix 17)
M110 Main Board : IPO - Confirmation and undertaking with regard to Biographical Information of Directors and Supervisors and Information in the Application Proof
M111 Main Board : IPO - Market comparable analysis
M112
(Filling Guide)
Main Board : IPO - Application for waiver from strict compliance with requirement under the Listing Rules (e-Form)
M113  Main Board : IPO - Summary of key financial ratios during the track record period with explanation for fluctuation
M114  Main Board : IPO - Compliance Adviser's undertaking (Appendix 20)
M115  Main Board : IPO - Confirmation with regard to posting of Application Proof
M116 Main Board : IPO - Reporting accountant’s confirmation – no significant adjustment
M117 Main Board : IPO - Expert’s confirmation – no material changes
M119
(Filling Guide)
Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form 5A (e-Form)
To be submitted after A1 submission (if applicable)
M115
Main Board: IPO – Confirmation with regard to posting of Statement made under Main Board Rule 9.08(2)(c) (if any)
To be submitted at least 4 clear business days before the expected hearing date
M201
(Filling Guide)
Main Board : IPO - New listing particulars (e-Form)
To be submitted on or before bulk printing of the listing document
M115 Main Board: IPO – Confirmation with regard to posting of Post Hearing Information Pack (PHIP) (not required for GEM transfer)
To be submitted on or before the issue of the listing document
M301  Main Board : IPO -  IPO Prospectus -Confirmation letter
M302  Main Board : IPO - Sponsor's Declaration (Appendix 19)
To be submitted after the issue of the listing document but before dealings commence
FF004
(Filling Guide)
Main Board : IPO – Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (e-Form)
FFD003M Main Board : IPO - Form D – Marketing Statement
M401 Main Board : IPO - Form E – Sponsor’s Declaration
M402
(Filling Guide)
Main Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage (e-Form)
FFD004M Main Board : IPO - Form F – Declaration
CI205M  Main Board : IPO - Placee information sheet
DU003M
(Filling Guide)
Main Board : IPO - Form B – Declaration and undertaking with regard to Directors (e-Form)
DU004M
(Filling Guide)
Main Board : IPO - Form H – Declaration and undertaking with regard to Directors of an issuer incorporated in the PRC (e-Form)
DU005M
(Filling Guide)
Main Board : IPO - Form I – Declaration and undertaking with regard to Supervisors of an issuer incorporated in the PRC (e-Form)
Additional documents to be submitted for Chapter 21 company
To be submitted at least 4 clear business days before the expected hearing date
M501
(Filling Guide)            
Main Board : IPO - 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) (e-Form)           
To be submitted before bulk printing of the listing document
M502 Main Board : IPO – Listing Agreement (Chapter 21 Investment Companies)
Checklists and Forms for Collective Investment Schemes under Chapter 20 (Please refer to Attachment 1 of Guidance Letter HKEX-GL79-14)
To be submitted at least one business days before submission of the listing application
CN001 (CIS) Request for Company Case Number for new CIS applicant
Where Main Board rule 20.25 applies, to be submitted when the new CIS applicant files an authorised application with SFC
CIS001 Main Board : Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP)
To be submitted together with Form 5A2
CIS002
(Filling Guide
Main Board : Form 5A2 - Listing application Form (For Collective Investment Schemes) (e-Form)
CIS003 Main Board : Form 7G - Listing Agreement (For Collective Investment Schemes)
CIS001 Where Main Board rule 20.26 applies
Main Board : Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP)
To be submitted after the issue of the listing document but before dealings commence
CIS004 Main Board : Issue of Listing Document – Confirmation Letter of SFC’s authorisation
Where there is an IPO of the CIS Units, to be submitted after the issue of the listing document but before dealings commence
CIS005 Main Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage
CIS006 Main Board : IPO - Form D - Marketing Statement
CIS007 Main Board : IPO - Placee information sheet
GEM Board
G101 GEM Board: Table of Contents of Checklists and Forms for New Listing Applications
To be submitted together with pre-IPO enquiries regarding the interpretation of the Listing Rules which are novel and specific / Form A1/ Form 5A
G118 
(Filling Guide)
Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form 5A (e-Form)
To be submitted at least three business days before submission of the listing application
CN001 Request for Company Case Number
To be submitted together with Form 5A
G103
(Filling Guide)
GEM Board : IPO - Form 5A - Listing Application Form (Equity Securities of an issuer no part of whose share capital is already listed) (e-Form)
G104 GEM Board : IPO -  Additional Information to be submitted together with the Form  5A
G105 GEM Board : IPO - Basic qualifications for new listing
G106  GEM Board : IPO - Basic requirements for contents of listing document
G107  GEM Board : IPO - Property valuation
G108 GEM Board : IPO - Accountants' report
G109  GEM Board : IPO - Form 7K - Sponsor’s undertaking and statement of independence
G110 GEM Board : IPO - Confirmation and undertaking with regard to Biographical Information of Directors and Supervisors and Information in the Application Proof
G111 GEM Board : IPO -  Market comparable analysis
G112 
(Filling Guide)            
GEM Board : IPO - Application for waiver from strict compliance with requirement under the GEM Listing Rules (e-Form)
G113  GEM Board : IPO -  Summary of key financial ratios during the track record period with explanation for fluctuation
FF211G GEM Board : IPO - Form 7H - Compliance Adviser's Declaration of Interests
G114  GEM Board : IPO -  Form 7M - Compliance Adviser's Undertaking
G115 GEM Board : IPO - Confirmation with regard to posting of Application Proof
G116 GEM Board : IPO - Reporting accountant’s confirmation – no significant adjustment
G117 GEM Board : IPO - Expert’s confirmation – no material changes
G118 
(Filling Guide)
Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form 5A (e-Form)
To be submitted after 5A submission (if applicable)
G115 GEM Board : IPO - Confirmation with regard to posting of Statement made under GEM Rule 12.10(2)(c)
To be submitted at least 4 clear business days before the expected hearing date
G201
(Filling Guide)
GEM Board : IPO - New listing particulars (e-Form)
To be submitted before bulk printing of the listing document
G115 GEM Board : IPO - Confirmation with regard to posting of Post Hearing Information Pack (PHIP)
To be submitted on or before the issue of the listing document
G301 GEM Board : IPO - IPO Prospectus - Confirmation letter
G302  GEM Board : IPO - Form 7G - Sponsor's declaration in support of a new applicant
To be submitted after the issue of the listing document but before dealings commence
FF004
(Filling Guide)
GEM Board : IPO – Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Office (e-Form)
FF017G  GEM Board : IPO - Form 5D - Marketing statement
FF018G  GEM Board : IPO - Form 5E - Declaration of compliance
G401  GEM Board : IPO -  Form 7I - Sponsor's declaration of compliance concerning a new applicant
G402
(Filling Guide)
GEM Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage (e-Form)
CI205G  GEM Board : IPO - Placee Information Sheet
DU003G
(Filling Guide)
GEM Board : IPO - Form 6A - Director's Declaration, Undertaking and Acknowledgement (e-Form)
DU004G
(Filling Guide)
GEM Board : IPO - Form 6B - Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (e-Form)
DU005G
(Filling Guide)
GEM Board : IPO - Form 6C - Supervisor's Declaration, Undertaking and Acknowledgement (PRC Issuer) (e-Form)
FF003G  GEM Board : IPO - Form 5F - Company information sheet