Main Board New Applicants

Last updated in December 2023. Appendix numbers were re-organised with effect from 31 December 2023. Click here to view the Appendix Number Destination Table.

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.

To open the e-Form Templates, please download the e-Form Templates and have Adobe Acrobat Reader DC installed. Mobile devices such as tablets and mobile phones cannot be used for the e-Forms Templates.

* Documents marked with an asterisk (*) form part of the Listing Rules. Failure to comply with the requirements contained in these documents is a breach of the Listing Rules and may result in the commencement of disciplinary proceedings.

Document Code	Document Name	e-Form Version No. and Last Update Date (dd/mm/yyyy)
*1.1 General*
M120	Template – Information Required from Overseas Issuer	-
M101	Table of Contents of Checklists and Forms for New Listing Applications	-
i. To be submitted together with pre-IPO enquiries regarding the interpretation of the Listing Rules which are novel and specific / Form A1/ Form A
M119 (Filling Guide)	Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form 5A (e-Form)	V1.1.2 (31/12/2023)
ii. 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)	V1.3.4 (31/12/2023)
iii. To be submitted at least three business days before submission of the listing application
CN001	Request for Company Case Number Activation	-
iv. To be submitted with Form A1
M103* (Filling Guide)	Listing Application Form (For Equity Securities and Debt Securities) (MB Regulatory Forms, Form A1, originally Appendix 5, Form A1)	V1.4.7 (31/12/2023)
M104	Additional information to be submitted together with the Form A1	-
M111	Market comparable analysis	-
M112 (Filling Guide)	Application for waiver from strict compliance with requirement under the Listing Rules (e-Form)	V1.1.3 (31/12/2023)
M119 (Filling Guide)	Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form A (e-Form)	V1.1.2 (31/12/2023)
FF004 (Filling Guide)	Personal Details Form (Originally “Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer”)(e-Form)	V1.4.2 (08/06/2024)
v. To be submitted at least 4 clear business days before the expected hearing date
M201 (Filling Guide)	New listing particulars (e-Form)	V1.2.3 (31/12/2023)
vi. To be submitted after the issue of the listing document but before dealings commence
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) (MB Regulatory Forms, Form D, originally Appendix 5, Form D)	-
M401*	Main Board : IPO - Form E – Sponsor’s Declaration (this form should be completed and submitted on FINI with effect from 22 November 2023) (MB Regulatory Forms, Form E, originally Appendix 5, Form E)	-
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) (MB Regulatory Forms, Form F, originally Appendix 5, Form F)	-
CI205M	Main Board : IPO - Placee information sheet (this form should be completed and submitted on FINI with effect from 22 November 2023)	-
*1.2 Additional documents to be submitted for Chapter 21 company*
i. To be submitted at least 4 clear business days before the expected hearing date
M501* (Filling Guide)	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) (MB Regulatory Forms, Form C3Z, originally Appendix 5, Form C3Z)	V1.0.2 (31/12/2023)
*1.3 Checklists and Forms for Collective Investment Schemes under Chapter 20*
i. 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	-
ii. To be submitted together with Form A2
CIS002* (Filling Guide)	Listing application Form (For Collective Investment Schemes) (e-Form) (MB Regulatory Forms, Form A2, originally Appendix 5, Form A2)	V1.1.3 (31/12/2023)
iii. To be submitted after the issue of the listing document but before dealings commence
CIS004	Issue of Listing Document – Confirmation Letter of SFC’s authorisation	-
iv. 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) (MB Regulatory Forms, Form D, originally Appendix 5, Form D)	-
CIS007	Placee information sheet (this form should be completed and submitted on FINI with effect from 22 November 2023)	-
1.4 Checklists and Forms for Transfer of Listing from GEM to Main Board (for Eligible Issuers under Chapter 9B)
i. To be submitted at least one business days before submission of the listing application
CN001	Request for Company Case Number Activation	-
ii. To be submitted together with Form G
T103*	Listing application Form (For Transfer of Listing from GEM to Main Board (for Eligible Issuers under Chapter 9B)) (MB Regulatory Forms, Form G)	-
M119* (Filling Guide)	Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form A (e-Form)	V1.1.2 (31/12/2023)
*2. Templates*
MT001	Model Form of Formal Notice for Offers for Sale or Subscription (Originally Appendix 11, Form A)	-
MT002	Model Form of Formal Notice for Introductions (Originally Appendix 11, Form B)	-
MT003	Model Form of Formal Notice for Placings (Originally Appendix 11, Form C)	-
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	-