Registration

To gain access to ESS you must register with HKEX.

Please follow the registration procedures set out in the ESS website at https://www1.esubmission.hkex.com.hk/EDSReg/registration/regHelp.xhtml or simply by clicking the “Registration” link on ESS website (https://www1.esubmission.hkex.com.hk).

Yes. It needs to register once as a listed issuer and once as an agent.

For investment companies or collective investment schemes (e.g. Exchange Traded Funds), an investment management company may register as an Exchange Traded Products issuer for the purpose making submissions for publication via ESS. An investment management company can register for all of the companies it manages. However, the investment management company must receive authorisation from the relevant listed issuers before registering in this capacity.

The trustee of an investment company or collective investment scheme company may also register to use ESS. However, trustees should register as agent companies. The trustee should obtain the authorization from the investment management company to submit document for publication on behalf of the relevant investment company or collective investment scheme (please refer to “Submissions by Agents”).

Yes. An issuer of debt and structured products should register separately for each type of product issued.

An issuer should log on to its ESS account that is applicable to the document that it wants to publish. For instance, if the announcement or document relates to its debt in issue it should log into ESS using its debt account. If such an issuer wishes to publish an announcement relating to all of its products in issue, that issuer should log in to ESS using any one of its registration accounts.

The non-listed company should follow the registration procedures set out in the ESS website to become an ESS registered company.

When the non-listed company is making an announcement under the Takeovers Code in relation to a listed company, the non-listed company must input that listed issuer’s (target company) stock code into the “Stock Code of Related Issuer(s)” field in its submission (please refer to “Related Stock Codes”).

Once HKEX has received full and complete registration details from an applicant company, we will send account details (including your ESS Company Code and User IDs) to the Authorised Users of applicant company via email within 2 business days. Where incomplete materials are submitted, the process will necessarily take longer.

You are advised to ensure the following documents are submitted along with the registration:-

• A duly signed letter of acceptance of the terms and conditions for e-Submission System; and
• A copy of board resolution (or equivalent document) authorising a director or any other person as the ESS Authorised Person of your company.

In urgent circumstances, such as when a non-issuer is required to make an announcement in takeover situations, HKEX will endeavour to expedite the process as much as possible. The applicant should contact our ESS hotline (+852 2840 3460) for appropriate arrangements.

As a minimum we would expect the board resolution relating to ESS registration should be:

1. authorising the application by your company/entity for e-Submission System registration and the acceptance by your company/entity of the relevant Terms and Conditions; and
2. authorising such director or other person to apply for e-Submission System registration on behalf of your company/entity and to sign the letter of acceptance of the Terms and Conditions.

All applications (listed issuers and agents) must provide a copy of the board resolution upon registration.

A company which intends to register for the use of ESS should have at least one Authorised Person, one Administrator and one Security Officer and a maximum of eight other users for each of Listing Related Matter and Publication Related Matter and up to two Disclosure of Interests users.

If a company requires more user accounts, the company’s Authorised Person should send a written request to HKEX and explain the reason(s) for additional user accounts. HKEX will consider on a case by case basis.

An Authorised Person is the person at a company who is the HKEX’s primary contact for subsequent registration matters (including user change requests and agent appointment updates). The company may also appoint a Secondary Authorised Person to act as a backup. By default, the Authorised Person of a listed issuer can access to view and download DI notices filed with the Exchange concerning its own company. Alternatively, s/he can choose to disable the access rights to retrieve DI information and appoint a separate person in the company as a DI user who can only view and download DI information concerning its own company.

An Administrator of a company is the person who maintains the company details.

A Security Officer is the person who controls the access rights and manages the assigned token of the other users of his/her company.

A Listing Related Matter user is the person who submits documents to the Listing Division of The Stock Exchange of Hong Kong Limited.

A Submitter of a Publication Related Matter user is the person who initiates submission process to make a submission (either save or submit). An Approver of a Publication Related Matter user is the person who reviews and approves the submission made by the Submitter. Upon approval, the submitted documents will be published on the HKEXnews website.

A DI User is a person who can view and download DI notices filed with the Exchange concerning its own company.

It is the issuer’s responsibility to ensure that it has sufficient internal controls to prevent the inappropriate distribution of inside information amongst its own employees and to ensure it meets its obligations in submitting information for publication. ESS is designed with the ability to segregate the roles of users to help ensure that appropriate internal controls are maintained. However, an issuer may choose to amalgamate or delegate these roles as it sees fit, as long as its internal controls regarding the security of unpublished information can be maintained.