Checklists and forms for new applicants

Last updated in November 2023

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

# For Listing Rules/ GEM Rules with effect from 5 August 2022

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 and Sponsor-Overall Coordinator Engagement Notification (to be submitted together with the sponsor engagement letter) (e-Form)
To be submitted at least one business days before submission of the listing application
CN001	Company Case Number Activation Request Form
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
M115	Main Board : IPO - Confirmation with regard to posting of OC Announcement
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 OC Announcement or Statement made under Main Board Rule 9.08(2)(c)
*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 as soon as practicable after hearing of the application by the Listing Committee but before finalisation of the listing document for publication*
M115	Main 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
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 and Independence Statement (this form should be completed and submitted on FINI with effect from 22 November 2023)
M401	Main Board : IPO - Form E – Sponsor’s Declaration (this form should be completed and submitted on FINI with effect from 22 November 2023)
M402	Main Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage (this form should be completed and submitted on FINI with effect from 22 November 2023)
FFD004M	Main Board : IPO - Form F – Declaration (this form should be completed and submitted on FINI with effect from 22 November 2023)
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 as soon as practicable after hearing of the application by the Listing Committee but before finalisation of the listing document for publication
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, OC Announcement 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, OC Announcement 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 (this form should be completed and submitted on FINI with effect from 22 November 2023)
CIS006	Main Board : IPO - Form D - Marketing and Independence Statement (this form should be completed and submitted on FINI with effect from 22 November 2023)
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 one business days before submission of the listing application
CN001	Company Case Number Activation Request Form
*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
G115	GEM Board : IPO - Confirmation with regard to posting of OC Announcement
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 OC Announcement or 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 as soon as practicable after hearing of the application by the Listing Committee but before finalisation of the listing document for publication*
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 and Independence Statement (this form should be completed and submitted on FINI with effect from 22 November 2023)
FF018G	GEM Board : IPO - Form 5E - Declaration of compliance (this form should be completed and submitted on FINI with effect from 22 November 2023)
G401	GEM Board : IPO - Form 7I - Sponsor's declaration of compliance concerning a new applicant (this form should be completed and submitted on FINI with effect from 22 November 2023)
G402	GEM Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage (this form should be completed and submitted on FINI with effect from 22 November 2023)
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