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TABLE OF CONTENTS
I.
Documents to be submitted when making a new listing
application .......................................................................................... I-1
A.
B.
C.
D.
E.
F.
G.
H.
I.
J.
K.
L.
M.
N.
O.
P.
II.
Documents to be submitted at least 20 clear business days
before the expected hearing date [Deleted]..................................... II-1
A.
B.
III.
Form A1 – Listing Application Form (For Equity & Debt
Securities) ................................................................................ I.A-1
Additional information to be submitted ...................................... I.B-1
Basic qualifications for new listing ............................................I.C-1
Basic requirements for contents of Prospectus ........................I.D-1
Offering mechanism ................................................................. I.E-1
Property valuation ..................................................................... I.F-1
Share option scheme ............................................................... I.G-1
Accountants' report ...................................................................I.H-1
Share repurchase [Deleted] ........................................................ I.I-1
Notice to all issuers and their directors [Deleted]....................... I.J-1
Sponsor’s undertaking (Appendix 17)……………………….........I.K-1
Sponsor’s statement of independence (Appendix 18)…………...I.L-1
Confirmation and undertaking with regard to biographical information
of directors and supervisors .…………………………………..... .I.M-1
Standard Comments: To be addressed when replying to our first
comment letter…………..……… ................. ………………… ..I.N- 1
Administrative Matters …………..……… ...... …………………..I.O- 1
Market comparable analysis………..……… ............................. I.P- 1
Articles of association [Deleted]................................................ II.A-1
Supplementary checklist of provisions to be included in
articles of association of PRC incorporated issuers
[Deleted] ................................................................................... II.B-1
Documents to be submitted at least 15 clear business days
before the expected hearing date [Deleted].................................... III-1
A.
B.
C.
Declaration and undertaking with regard to Directors and
Supervisors [Deleted. See VIII.E-1 below] ............................... III.A-1
Draft undertaking to be given by each of sponsors and underwriters
where no profit forecast or other forward looking statements is
contained in the Prospectus [Deleted] ………………… ………III.B-1
New listing particulars [Deleted. See V.C-1 below]................. III.C-1
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D.
IV.
Documents to be submitted at least 10 clear business days
before the expected hearing date [Deleted].................................... IV-1
A.
B.
V.
Model Forms of Formal Notice [Deleted. See VI.G-1 below]
............................................................................................... IV.A-1
Definitive documents of title [Deleted] .................................... IV.B-1
Documents to be submitted at least 4 clear business days
before the expected hearing date .................................................... V-1
A.
B.
C.
D.
VI.
Summary of key financial ratios during the track record
period [Deleted. See V.D-1 below] .......................................... III.D-1
Formal application [Deleted. Merged with I.A -1 above] ......... V.A-1
Listing Agreement - [Deleted] .................................................. V.B-1
New listing particulars.............................................................. V.C-1
Summary of key financial ratios during the track record
period with explanation for fluctuation .................................... V.D-1
Documents to be submitted before bulk-printing of the
Prospectus ....................................................................................... VI-1
A.
B.
C.
D.
E.
F.
G.
Adoption of Standard Transfer Form (STF) [Deleted] ............. VI.A-1
Confirmation with regard to issuer’s own website .................. VI.B-1
e-Submission system (ESS) registration ............................... VI.C-1
Authorised representatives/ Company secretary form ........... VI.D-1
Confirmation with regard to posting of Web Proof
Information Pack (WPIP) ....................................................... VI.E-1
Authorisation letter for submission of WPIP ............................ VI.F-1
Model Forms of Formal Notice ............................................... VI.G-1
VII. Documents to be submitted as soon as practicable after
Listing Committee hearing but before the date of issue of
the Prospectus ................................................................................ VII-1
A.
B.
C.
D.
IPO Prospectus – First confirmation letter [Deleted and
combined with VII.C-1] .......................................................... VII.A-1
Sponsor’s confirmation letter [Deleted] .................................. VII.B-1
IPO Prospectus – Confirmation letter ................................... VII.C-1
Sponsor’s declaration (Appendix 19)………………………… VII.D-1
VIII. Documents to be submitted after the issue of Prospectus
but before dealings commence .................................................... VIII-1
A.
Form D - Marketing statement ............................................. VIII.A-1
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B.
C.
D.
E.
Form E - Sponsor’s declaration ........................................... VIII.B-1
Form F - Declaration ............................................................ VIII.C-1
Placee Information Sheet .................................................... VIII.D-1
Declaration and undertaking with regard to Directors and
Supervisors .......................................................................... VIII.E-1
IX.
Document to be submitted before initial listing ……....……...……IX-1
A. Compliance adviser’s undertaking (Appendix 20)…………..…IX.A-1
X.
Documents to be submitted for Transfer of Listing from GEM to
Main Board …………………………………………. …….....……...……X-1
A. Checklist for transfer of Listing from GEM to Main Board…….. X.A-1
B. Form J – Formal Application ………………………………...……..X.B-1
C. Form K – Declaration of Directors and Supervisors with regard
to a transfer of listing from GEM to Main Board…………………..X.C-1
D. Basic requirements for contents of announcement of transfer…..X.D-1
E. Basic requirements for contents of circular where the
transfer application is made by an infrastructure company,
mineral company or investment company……………...................X.E-1
F. Undertaking to inform the Exchange of a change in the
circumstances with regard to qualifications for a transfer of listing
from GEM to Main Board ...…………………….. ……………...…...X.F-1
G. Issuer’s authorisation for filing with the SFC……………………….X.G-1
H. New listing particulars………………………..……………………….X.H-1
I.
Standard Comments: To be addressed when replying to our first
comment letter ………………………………………………………...X.I- 1
XI.
Documents to be submitted for Collective Investment Schemes
A. Form A2 – Listing Application Form . ………………………..………XI.A-1
B. Form C3 - Formal Application ……………….………………………XI.B-1
C. Form 7G - Listing Agreement ....................................................... XI.C-1
D. IPO Prospectus – Confirmation letter .......................................... XI.D-1
E. Standard Comments: To be addressed when replying to our first
comment letter................................................................. ………...XI.E-1
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XII. Documents to be submitted for Investment Companies under
Chapter 21
A. IPO Checklist for Investment Companies governed by Chapter 21 of
the Listing Rules .................................................................. …….XII.A-1
B. Form A2 - Advance Booking Form [Deleted] ...……………..……..XII.B-1
C. Form C3 - Formal Application [Deleted] ........... …………………..XII.C-1
D. 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) ........................................... …XII.D-1
E. Listing Agreement (For Chapter 21 Investment Companies)
...............................................................................................…XII.E-1