Submissions by Agents

The “Appointment of Agents” function is dedicated to the Authorised Persons of listed issuers to appoint their representing agents to submit and/or approve documents on their behalf. There are two types of “Appointment of Agents” functions: (i) Appointment of Agents for Publication Related Matters and (ii) Appointment of Agents for Listing Related Matters. The Authorised Persons should depend on their situation to make necessary appointments respectively. Authorised Person can set criteria to control the submissions to be made by its appointed agents, such as the number of submissions or a time range.

For the agent company, its Authorised Person can view the list of assignments made by their clients (i.e. listed issuers) via the “Appointment of Agents” functions.

The listed issuer in concern should appoint your company through the “Appointment of Agents” function prior to any submission made on the issuer’s behalf. The Authorised Person of an agent may also check if such appointment has been made by the listed issuer via the “Appointment of Agents” function.

You should specify your representing issuer by inputting its “Company Code” in the “Company Code of Represented Issuer” field when making submissions via ESS. After you have inputted the “Company Code of Represented Issuer”, the company name of your representing issuer will be displayed for verification.

Note: Each ESS registered company (including both listed companies and non-listed companies) will be assigned with a “Company Code” upon its registration.

No. As soon as the agent inputs the stock code of the issuer that it represents into the “Company Code of Represented Issuer” field, ESS will validate the related stock codes (if any) against the “Related Stock Code List” maintained by the represented issuer. If the stock codes entered into the “Stock Code of Related Issuer(s)” field failed the related stock code validation, you should first check the stock code you are supplying is correct. If it is a correct stock code, you should contact the issuer immediately for its Administrator to update the “Related Stock Code List” accordingly.