| 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, 9A (GEM transfer applications not under transitional arrangements in Appendix 28), 18 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 |
Main Board : IPO - Summary of non-exempted continuing connected transactions |
| 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) (not required for GEM transfer) |
| 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 |
| 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 |
Main Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage |
| 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 |
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)
|
|
To be submitted before bulk printing of the listing document
|
| M502 |
Main Board : IPO – Listing Agreement (Chapter 21 Investment Companies)
|
|
Checklists and Forms for Transfer of Listing from GEM to Main Board for Eligible Issuers entitled to transitional arrangements under Appendix 28 of the Main Board Rules |
For an Eligible Issuer (defined in Main Board Rule 9A.01A) with no change in principal businesses and controlling shareholders since listing on GEM and is not an infrastructure company or a mineral company (Category B Eligible Issuer)
|
To be submitted together with submission of Form 5J
|
MT001
|
Main Board : IPO - Documents to be submitted when making an application for Transfer of Listing from GEM to Main Board
|
MT002
|
Main Board: IPO – Checklist and declaration – basic qualifications for transfer of equity listing
|
MT003
|
Main Board: IPO – Form 5J – Formal Application (For Transfer of Listing from GEM to Main Board)
|
| MT004 |
Main Board : IPO - Form 5K - Declaration of Directors and Supervisors with regard to a Transfer of Listing from GEM to Main Board |
| MT005 |
Main Board : IPO - Basic requirements for contents of announcement of transfer |
| MT006 |
Main Board : IPO - Basic requirements for contents of listing document where the transfer application is made by an infrastructure company, mineral company or investment company |
M201
(Filling Guide)
|
Main Board: IPO – New listing particulars (e-Form)
|
| M109 |
Main Board: IPO – Sponsor's Undertaking and Statement of Independence (Appendix 17)
|
| To be submitted on or before issue of the GEM transfer announcement |
| M302 |
Main Board: IPO – Sponsor's Declaration (Appendix 19) |
DU003M
(Filling Guide)
|
Form B – Declaration and undertaking with regard to Directors (e-Form)
|
DU004M
(Filling Guide)
|
Form H – Declaration and undertaking with regard to Directors of an issuer incorporated in the PRC (e-Form) |
DU005M
(Filling Guide)
|
Form I – Declaration and undertaking with regard to Supervisors of an issuer incorporated in the PRC (e-Form)
|
| For an Eligible Issuer (defined in Main Board Rule 9A.01A) with change in principal businesses and/ or controlling shareholders since listing on GEM or is an infrastructure company or a mineral company (Category A Eligible Issuer) |
To be submitted together with Form A1
|
| MT002 |
Main Board: IPO – Checklist and declaration – basic qualifications for transfer of equity listing |
|
Follow Checklists and Forms for New Listing Applications under Chapters 8, 9A and 21 |
| Checklists and Forms for Collective Investment Schemes under Chapter 20 (Please refer to Attachment 1 of Guidance Letter HKEX-GL79-14) |
| 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 |
Main Board : Form 5A2 - Listing application Form (For Collective Investment Schemes) |
| 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 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 |
GEM Board : IPO - Summary of non-exempted continuing connected transactions |
| 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 |
|
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 |
GEM Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage |
| 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 |
