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Listing e-Forms

Last updated in May 2022

The Stock Exchange has recently introduced electronic forms (the "Listing e-Forms") with a view to:

(a) standardise the presentation of routine information in order to reduce processing time;

(b) reduce the risk of manual input error through the use of data validation within e-Form fields; and

(c) assist the Exchange in collecting and analysing data more efficiently.

This web corner contains all of our guidance on this subject.

1. Notices to Issuers

2. Video Tutorials

Listing Related Matters e-Form
     
a. Submission for Listing Related Matters e-Form English Cantonese Putonghua
b. Download e-Form Templates English Cantonese Putonghua
c. Appointment of Agents for Listing Related Matters English Cantonese Putonghua
Announcement Form and Return e-Form (Last update in Jun 2021)
     
a. Submission for Announcement Form and Return e-Form English Cantonese Putonghua
b. Download Announcement Form and Return e-Form English Cantonese Putonghua

 

3. e-Form Templates and Guidelines

To open the e-Form Templates, you need to download the e-Form Templates and have Adobe Acrobat Reader DC installed. Mobile devices such as tablets and mobile phones can’t be used for the e-Forms Templates.  All the e-Forms under Section 3 have to be submitted to e-Submission System (ESS) by Listing Related Matters users.

  • New Applicants
e-Form Template Code e-Form Templates Version No. and
Last Update Date
(dd/mm/yyyy)
Form Filling Guide
  Forms relating to sponsor engagement  
SE001 a. Sponsor Engagement Notification V1.2.2
(12/06/2021)
Guideline
  Forms relating to IPOs
 
M103 b. Listing Application Form (For Equity Securities & Debt Securities) (Main Board) V1.3.4
(12/06/2021)
Guideline
G103 c. Listing Application Form (For Equity Securities of an issuer no part of whose share capital is already listed) (GEM)
V1.2.2
(28/05/2022)
Guideline
M201 / G201 d. New Listing Particulars (Main Board and GEM)
V1.1.1
(12/06/2021)
Guideline
CIS002
e. Form A2 - Listing Application Form (For Collective Investment Scheme) V1.0.0
(05/11/2021)
Guideline
M501
f. 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) V1.0.0
(05/11/2021)
Guideline
M112 / G112
g. Application for waiver from strict compliance with the Listing Rules / GEM Listing Rules V1.1.1
(28/05/2022)
Guideline
M119 / G118
h. Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form 5A V1.1.1
(28/05/2022)
Guideline
M402 / G402
i. Notification of Submission of Transaction Levy, Trading Fee and Brokerage V1.1.1
(01/01/2022)
Guideline
  Forms relating to Directors and Supervisors, Authorised Representatives, Company Secretaries and Compliance Officers
 
FF004 j. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (Main Board and GEM)
V1.2.3
(12/06/2021)
Guideline
DU003M k. Declaration and Undertaking with regard to Directors (Main Board)
V1.2.5
(01/01/2022)
Guideline
DU004M l. Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Main Board)
V1.2.5
(01/01/2022)
Guideline
DU005M m. Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Main Board)
V1.1.4
(16/10/2021)
Guideline
DU003G n. Director's Declaration, Undertaking and Acknowledgement (GEM)
V1.2.5
(01/01/2022)
Guideline
DU004G o. Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (GEM)
V1.2.5
(01/01/2022)
Guideline
DU005G p. Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (GEM)
V1.1.3
(16/10/2021)
Guideline

 

  • Main Board Issuers
e-Form Template Code  e-Form Templates Version No. and
Last Update Date
(dd/mm/yyyy)
Form Filling Guide
  Forms relating to Directors and Supervisors, Authorised Representatives and Company Secretaries  
FF004 a. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer V1.2.3
(12/06/2021)
Guideline
DU003M b. Declaration and Undertaking with regard to Directors (Main Board) V1.2.5
(01/01/2022)
Guideline
DU004M c. Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Main Board)
V1.2.5
(01/01/2022)
Guideline
DU005M d. Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Main Board)
V1.1.4
(16/10/2021)
Guideline
  Forms relating to Announcements and Trading Arrangements
 
CF006

e. Size Tests For Notifiable Transactions and Connected Transactions

V1.0.4
(04/12/2021)
Guideline
CF093 f. Trading Arrangement Form V1.0.3
(04/12/2021)
Guideline
  Forms relating to Application for Listing of Securities
 
FFD001M g. Formal Application (For Equity Securities)
V1.0.3
(12/06/2021)
Guideline
  Forms relating to Blackout Period
 
FF005 h. Blackout Period Notification Form V1.1.4
(28/05/2022)
--
  Forms relating to Meeting Notification
   
IF001 i. Meeting Notification e-Form * V1.0.2
(04/12/2021)
Guideline 

 

* If you have any enquiries on the filling of the Meeting Notification e-Form, please call our Hotline at +852 2211 5780 or email at hksccn_cams@hkex.com.hk

 

  • GEM Issuers
e-Form Template Code  e-Form Templates Version No. and
Last Update Date
(dd/mm/yyyy)
Form Filling Guide
  Forms relating to Directors and Supervisors, Authorised Representatives, Company Secretaries and Compliance Officers  
FF004 a. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer V1.2.3
(12/06/2021)
Guideline
DU003G b. Declaration, Undertaking and Acknowledgement (GEM) V1.2.5
(01/01/2022)
Guideline
DU004G c. Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (GEM)
V1.2.5
(01/01/2022)
Guideline
DU005G d. Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (GEM)
V1.1.3
(16/10/2021)
Guideline
  Forms relating to Announcements and Trading Arrangements
 
CF006 e. Size Tests For Notifiable Transactions and Connected Transactions V1.0.4
(04/12/2021)
Guideline
CF093 f. Trading Arrangement Form V1.0.3
(04/12/2021)
Guideline
  Forms relating to Application for Listing of Securities
 
FF201G g. Application Form - Equity Securities (of an issuer part of whose share capital is already listed) V1.1.4
(04/12/2021)
Guideline
  Forms relating to Blackout Period
 
FF005 h. Blackout Period Notification Form V1.1.4
(28/05/2022)
--
  Forms relating to Meeting Notification
   
IF001 i. Meeting Notification e-Form *                  
V1.0.2
(04/12/2021)
Guideline

 

* If you have any enquiries on the filling of the Meeting Notification e-Form, please call our Hotline at +852 2211 5780 or email at hksccn_cams@hkex.com.hk

 

  • Debt Securities Issuers
e-Form Template code  e-Form Templates Version No. and
Last Update Date
(dd/mm/yyyy)
Form Filling Guide
  Forms relating to Debt Securities and MTN Programme  
DS001 New Listing Particulars - Debt Securities V1.1.1
(12/06/2021)
Guideline
  Forms relating to continuing obligations – financial statement submission  
DS002
Financial Statement Submission Form - For issuer / guarantor of listed debt securities only V1.0.0
(05/11/2021)
Guideline

 

4. Announcement Form Templates and Guidelines  

To open the Announcement Form Templates, you need to download the Announcement Form Templates and have Adobe Acrobat Reader DC installed. Mobile devices such as tablets and mobile phones can’t be used for the Announcement Form Templates. All the Announcement Forms under Section 4 have to be submitted to e-Submission System (ESS) by Publication Related Matters users.

 

  • Main Board Issuers / GEM Issuers
Announcement Form Template
Code
Announcement Form Templates           
Version No. and
Last Update Date
(dd/mm/yyyy)
Form Filling Guide
EF001 Cash Dividend Announcement Form V1.1.1
(04/12/2021)
Guideline
EF002 Cash Dividend with currency option Announcement Form V1.1.1
(04/12/2021)
Guideline
EF003 Cash Dividend with scrip option Announcement Form V1.1.1
(04/12/2021)
Guideline
EF004 Cash Dividend with currency and scrip options Announcement Form V1.1.1
(04/12/2021)
Guideline
EF005 Bonus issue of shares or warrants Announcement Form V1.1.2
(04/12/2021)
Guideline

 

  • CCASS Eligible Debt Securities Issuers
Announcement Form Template
Code
Announcement Form Templates Version No. and
Last Update Date
(dd/mm/yyyy)
Form Filling Guide
EF006 Interest Payment Announcement Form V1.1.1
(04/12/2021)
Guideline

 

5. Return e-Form Templates and Guidelines 

To open the Return e-Form Templates, you need to download the Return e-Form Templates and have Adobe Acrobat Reader DC installed. Mobile devices such as tablets and mobile phones can’t be used for the Return e-Form Templates.  All the Return e-Forms under Section 5 have to be submitted to e-Submission System (ESS) by Publication Related Matters users.

  • Main Board Issuers
Return e-Form
Template
Code
Return e-Form Templates Version No. and
Last Update Date
(dd/mm/yyyy)
Form Filling Guide
  Forms relating to Monthly Return and Next Day Disclosure Return  
FF301 Monthly Return e-Form for Equity Issuers and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules
V1.0.1
(16/10/2021)
Guideline / Video
FF302 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) on Movements in Units V1.0.1
(16/10/2021)
Guideline
FF303 Monthly Return e-Form on Movement of Open-ended Collective Investment Schemes listed under Chapter 20 of the Exchange Listing Rules
V1.0.0
(11/06/2021)
Guideline / Video
FF304 Next Day Disclosure Return e-Form for Equity Issuers and Collective Investment Scheme under Chapter 20 of the Exchange Listing Rules (other than listed open-ended Collective Investment Schemes) V1.2.4
(04/12/2021)
Guideline / Video

 

  • GEM Issuers
Return e-Form
Template
Code
Return e-Form Templates Version No. and
Last Update Date
(dd/mm/yyyy)
Form Filling Guide
Forms relating to Monthly Return and Next Day Disclosure Return
 
FF301 Monthly Return e-Form for Equity Issuers V1.0.1
(16/10/2021)
Guideline / Video
FF304 Next Day Disclosure Return e-Form for Equity Issuers V1.2.4
(04/12/2021)
Guideline / Video

 

6. ESS User Guides / Manuals / FAQs

  • Quick Reference Guides

Quick Reference Guide for Listing Related Matters

Quick Reference Guide for Publication Related Matters (Basic)

Quick Reference Guide for Publication Related Matters (Extended)

  • User Manuals

User Manual for Listing Related Matters

User Manual for Authorised Person, Administrator, Security Officer and DI users

User Manual for Publication Related Matters

  • Frequently Asked Questions

Frequently Asked Questions for Listing Related Matters e-Forms (11 Jun 2021)

  • Frequently Asked Questions for Publication Related Matters

Frequently Asked Questions for Announcement Forms and Return e-Forms (for Main Board Issuers and GEM Issuers) (4 Dec 2021)

Frequently Asked Questions for Announcement Forms - Interest Payment (for CCASS Eligible Debt Securities Issuers) (4 Dec 2021)

 

7. Enquiry Hotlines

If you have any enquiries on the filling of the Announcement Forms and Meeting Notification e-Form (IF001), please call our Hotline at +852 2211 5780 or email at hksccn_cams@hkex.com.hk

If you have any enquiries on the e-Form submission, please call our ESS Hotline at +852 2840 3460 or email at esshotline@hkex.com.hk