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Main Board Issuers

Last updated in May 2024.

These checklists and forms are provided to assist compliance with the Listing Rules and administrative procedures.  They:

1. highlight Listing Rule disclosure and specific compliance requirements on (i) the content of listed issuers’ documents (e.g. announcements, circulars) and (ii) particular transactions which are the subject of those documents.  These checklists are generally provided for guidance purpose, but may be required to be submitted to the Exchange under the circumstances stated in the notes under "Submission Requirements" in the list below (for example, disclosure checklists should be submitted with draft pre-vetted documents). Please refer to “1. Checklists” of the list below. 

2. facilitate the provision of information required by the Exchange in specific circumstances. For example, information related to securities listed/ to be listed on the Exchange for the purpose of seeking the Exchange’s prior consent on the trading arrangements under Main Board Rule 13.52B(1). Please refer to “1. Checklists” of the list below.

3. set out documentary requirements in respect of transactions and corporate actions taken by listed issuers. Please refer to "2. Checklists relating to Documentary Requirements" of the list below.

4. provide templates and forms specified under the Listing Rules. Please refer to “3. Forms specified under the Listing Rules”, “4. Templates”, “5. Announcement Forms” and “6. Forms relating to Meeting Notification” of the list below.

The requirements and documents set out in the checklists and forms are not exhaustive. Depending on the circumstances of any particular case, the Exchange may request additional information/documents.

To download a checklist or form or template, please click on the relevant link below. 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.

If you have any enquiries on the filling of the Announcement Forms and Meeting Notification e-Form (IF001), please call Post Trade Division 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

* 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 Submission Requirement
1. Checklists

1.1  Checklists and Forms relating to Announcements and Trading Arrangements

CF025M

Basic Qualifications for Listing of a New Class of Equity Securities

Note 1

CF009M

Issue of Securities for Cash – Announcement

Note 5

CF007M

Notifiable Transaction and Connected Transaction Announcement

Note 2, 3

CF006             
(Filling Guide
Size Tests for Notifiable Transactions and Connected Transactions (e-Form)

Note 2, 3, 7

CF092

References to Major Listing Rules Requirements related to Issuance of Securities

Note 5

CF093
(Filling Guide)
Trading Arrangement Form (e-Form) Note 1, 7

1.2  Checklists relating to Circulars and Listing Documents

i. Transactions

CF016M

Connected Transaction – Circular

Note 4

CF014M
Major Acquisition / Very Substantial Acquisition / Extreme Transaction – Circular;
Reverse Takeover – Listing Document
Note 4

CF015M

Major Realisation and Very Substantial Disposal – Circular

Note 4

ii. Issue of securities

CF017M

Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities – Listing Document

Note 4

CF214M

Issue of Securities (other than Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities/ Rights Issue/ Open Offer) – Listing Document

Note 4

CF026M

Issue of Warrants, Options or Similar Rights under Chapter 15 – Circular

Note 4

CF011M

Rights Issue/ Open Offer – Listing Document

Note 4

CF019M

Share Scheme – Circular

Note 4

CF028M

Supplemental Information for Investment Company – Listing Document

Note 4

CF005M

Supplemental Information for PRC Issuer – Listing Document

Note 4

iii. Others

CF020M
Explanatory Statements Relating to Share Repurchase by Listed Issuers
Note 5

CF021M

Valuation of Properties Being Acquired or Disposed of

Note 4

1.3  Other Checklists

CF023M

Definitive Document of Title of Equity Securities

Note 5

2. Checklists relating to Documentary Requirements

i. Transactions

DR001M
Connected Transactions
Note 5
DR002M
Notifiable Transactions
Note 5

 ii. Issue of securities

Note 5
DR003M
Adoption of Share Scheme/ Refreshment of Share Scheme Limit
Note 5
DR004M
Capital Reduction/ Share Consolidation/ Share Subdivision
Note 5
DR005M
Capitalisation Issue (Bonus Issue/ Scrip Dividend Scheme)
Note 5
DR006M
Issue of Unlisted Convertible Debt Securities
Note 5
DR007M
Issue of Warrants/ Convertible Equity Securities
Note 5
DR008M
Placing
Note 5
DR009M
Rights Issue/ Open Offer
Note 5

iii. Others

DR011
Change of Company Name/ Addition of Chinese Name
Note 5
DR012M
Change of Directors/ Supervisors
Note 5
3. Forms specified under the Listing Rules

3.1 Monthly Returns and Next Day Disclosure Returns

FF301
(Filling Guide)
Monthly Return e-Form for Equity Issuers and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules
Note 7
FF301 (preview)**
(Filling Guide)
Monthly Return e-Form for Equity Issuers and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules (to be effective on 10 June 2024)
Note 7
FF302
(Filling Guide)     
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)
Note 7
FF302 (preview)**
(Filling Guide)  
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) (to be effective on 10 June 2024)
Note 7
FF303
(Filling Guide)      
Monthly Return e-Form on Movement of Open-ended Collective Investment Schemes listed under Chapter 20 of the Exchange Listing Rules
Note 7
FF304
(Filling Guide)
Next Day Disclosure Return e-Form for Equity Issuers and Collective Investment Schemes under Chapter 20 of the Exchange Listing Rules (other than listed open-ended Collective Investment Schemes)
Note 7
FF304 (preview)**
(Filling Guide)
Next Day Disclosure Return e-Form for Collective Investment Schemes under Chapter 20 of the Exchange Listing Rules (other than listed open-ended Collective Investment Schemes) (to be effective on 10 June 2024)
Note 7
FF305 (preview)**
(Filling Guide)
Next Day Disclosure Return e-Form for Equity Issuers (to be effective on 10 June 2024)
Note 7
** The final version of the revised e-Forms will be available for download and submission at the ESS from 10 June 2024 (18:00). The existing e-Forms (FF301, FF302 and FF304) will no longer be accepted for publication through the ESS after 7 June 2024.
3.2 Forms relating to Application for Listing of Securities
FFD001M*
(Filling Guide
Formal Application (For Equity Securities) (e-Form) (MB Regulatory Forms, Form C1, originally Appendix 5Form C1)
Note 7
FFD007M*
Formal Application (For Collective Investment Schemes) (MB Regulatory Forms, Form C3, originally Appendix 5Form C3)
 
FFD008M*
Formal Application (For Open-Ended Investment Companies, Unit Trusts, Mutual Funds and Other Collective Investment Schemes Governed by Chapter 21 of the Listing Rules) (MB Regulatory Forms, Form C3Z, originally Appendix 5Form C3Z)
 
FFD003M*
Marketing and Independence Statement (MB Regulatory Forms, Form D, originally Appendix 5Form D)
 
3.3 Forms relating to Directors and Supervisors (for appointments before 31 December 2023)  
DU003M
(Filling Guide
Declaration and Undertaking with regard to Directors (e-Form) (Originally Appendix 5, Form B)
Note 7
DU004M
(Filling Guide
Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (e-Form) (Originally Appendix 5, Form H)
Note 7
DU005M
(Filling Guide
Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (e-Form) (Originally Appendix 5, Form I)
Note 7
4. Templates
FF004
(Filling Guide
Personal Details Form (originally “Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (GEM only)”) (e-Form) (this form should be completed and submitted for appointments on or after 31 December 2023)
Note 7
FF005
Blackout Period Notification Form
Note 7
CI205M
Placees Information Summary
Note 6
5. Announcement Forms 
EF001
(Filling Guide)
Cash Dividend Announcement Form
Note 7
EF002
(Filling Guide)
Cash Dividend with currency option Announcement Form
Note 7
EF003
(Filling Guide)
Cash Dividend with scrip option Announcement Form
Note 7
EF004
(Filling Guide)
Cash Dividend with currency and scrip options Announcement Form
Note 7
EF005
(Filling Guide)
Bonus issue of shares or warrants Announcement Form
Note 7
6. Forms relating to Meeting Notification
IF001
(Filling Guide)
Meeting Notification e-form
Note 7

Notes relating to checklists:

1. A listed issuer must submit the duly completed form(s) to the Exchange for purposes of obtaining the Exchange's consent in respect of trading arrangements under Main Board Rule 13.52B(1).
2. For transactions of which the draft announcement is subject to pre-vetting by the Exchange, a listed issuer must submit the completed announcement checklist and size test checklist to the Exchange at the same time it submits the draft announcement to the Exchange for review under Main Board Rule 13.52(2).
3. For transactions of which the draft announcement is not subject to pre-vetting by the Exchange, a listed issuer must submit the completed size test checklist to the Exchange on or before the publication of the announcement. It need not submit the announcement checklist unless requested by the Exchange (see also note 5).
4. A listed issuer must complete the relevant checklist and submit it to the Exchange at the same time it submits the draft circular/listing document to the Exchange for review under Main Board Rule 13.52(1).
5. The Exchange may request information and/or documents to demonstrate compliance with the Listing Rules in individual cases. In such cases, the Exchange may request submission of the checklist(s).
6. A listed issuer must submit an electronic format of the completed Placees Information Summary to the Exchange.
7.  A listed issuer must submit the completed Listing Related Matters e-Form, the Announcement Form or Return e-Form using the e-Submission System (ESS) (https://www1.eSubmission.hkex.com.hk).