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Listing e-Forms

The Listing Division 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. Letter to Issuers

2. Video Tutorials

Video content  
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

 

3. e-Form Templates and Guidelines

To open the e-form templates, you need to download the e-form and have Adobe Acrobat reader DC installed. Mobile devices such as tablets and mobile phones can’t be used for the e-forms.

  • New Applicants
e-Form Templates
Forms relating to sponsor engagement
a. Sponsor Engagement Notification Guideline
Forms relating to IPOs
b. Listing Application Form (For Equity Securities & Debt Securities) (Main Board) Guideline
c. Listing Application Form (For Equity Securities of an issuer no part of whose share capital is already listed) (GEM)
Guideline
d. New Listing Particulars (Main Board and GEM)
Guideline
Forms relating to Directors and Supervisors, Authorised Representatives, Company Secretaries and Compliance Officers
e. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (Main Board and GEM)
Guideline
f. Declaration and Undertaking with regard to Directors (Main Board)
Guideline
g. Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Main Board)
Guideline
h. Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Main Board)
Guideline
i. Director's Declaration, Undertaking and Acknowledgement (GEM)
Guideline
j. Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (GEM)
Guideline
k. Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (GEM)
Guideline
   
  • Main Board Issuers
e-Form Templates
Forms relating to Directors and Supervisors, Authorised Representatives and Company Secretaries
a. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer Guideline
b. Declaration and Undertaking with regard to Directors (Main Board) Guideline
c. Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Main Board)
Guideline
d. Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Main Board)
Guideline
Forms relating to Announcements and Trading Arrangements

e. Size Tests For Notifiable Transactions and Connected Transactions

Guideline
f. Trading Arrangement Form
 Guideline
Forms relating to Application for Listing of Securities
g. Formal Application (For Equity Securities)
 Guideline
Forms relating to Blackout Period
h. Blackout Period Notification Form
--
   
  • GEM Issuers
e-Form Templates
Forms relating to Directors and Supervisors, Authorised Representatives, Company Secretaries and Compliance Officers
a. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer Guideline
b. Declaration, Undertaking and Acknowledgement (GEM) Guideline
c. Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (GEM)
Guideline
d. Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (GEM)
Guideline
Forms relating to Announcements and Trading Arrangements

e. Size Tests For Notifiable Transactions and Connected Transactions

Guideline
f. Trading Arrangement Form
 Guideline
Forms relating to Application for Listing of Securities
g. Application Form - Equity Securities (of an issuer part of whose share capital is already listed)
 Guideline
Forms relating to Blackout Period
h. Blackout Period Notification Form
--
       
  • Debt Securities Issuers
e-Form Templates
Forms relating to Debt Securities and MTN Programme
New Listing Particulars - Debt Securities Guideline

 

4. ESS User Guides / Manuals / FAQs

  • Quick Reference Guides

Quick Reference Guide for Listing Related Matters

  • User Manuals

User Manual for Listing Related Matters

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

  • Frequently Asked Questions

Frequently Asked Questions for Listing Related Matters e-Forms

 

5. ESS Hotline

    If you have any enquiries on the e-Form submission, please call our ESS Hotline at +852 2840 3460.


Updated 27 Nov 2020