Last updated in November 2023
The Stock Exchange 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. Notices to Issuers
2. Video Tutorials
3. e-Form Templates and Guidelines
To open the e-Form Templates, you need to download the e-Form Templates and have Adobe Acrobat Reader DC installed. Mobile devices such as tablets and mobile phones can’t be used for the e-Forms Templates. All the e-Forms under Section 3 have to be submitted to e-Submission System (ESS) by Listing Related Matters users.
| e-Form Template Code |
e-Form Templates
|
Version No. and
Last Update Date
(dd/mm/yyyy) |
Form Filling Guide |
| |
Forms relating to sponsor engagement |
|
|
SE001
|
a. Sponsor and Sponsor-Overall Coordinator Engagement Notification |
V1.3.3
(10/12/2022) |
Guideline |
| |
Forms relating to IPOs
|
|
|
M103
|
b. Listing Application Form (For Equity Securities & Debt Securities) (Main Board) |
V1.4.6
(08/07/2023) |
Guideline |
|
G103
|
c. Listing Application Form (For Equity Securities of an issuer no part of whose share capital is already listed) (GEM)
|
V1.3.3
(08/07/2023) |
Guideline |
| M201 / G201 |
d. New Listing Particulars (Main Board and GEM)
|
V1.2.2
(10/12/2022) |
Guideline |
|
CIS002
|
e. Form A2 - Listing Application Form (For Collective Investment Scheme) |
V1.1.2
(08/07/2023) |
Guideline |
M501
|
f. 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) |
V1.0.0
(10/12/2022) |
Guideline |
M112 / G112
|
g. Application for waiver from strict compliance with the Listing Rules / GEM Listing Rules |
V1.1.1
(10/12/2022) |
Guideline |
M119 / G118
|
h. Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form 5A |
V1.1.1
(10/12/2022) |
Guideline |
M402 / G402
|
i. Notification of Submission of Transaction Levy, Trading Fee and Brokerage (this form should be completed and submitted on the FINI platform with effect from 22 November 2023) |
|
|
| |
Forms relating to Directors and Supervisors, Authorised Representatives, Company Secretaries and Compliance Officers
|
|
| FF004 |
j. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (Main Board and GEM)
|
V1.3.5
(10/12/2022) |
Guideline |
| DU003M |
k. Declaration and Undertaking with regard to Directors (Main Board)
|
V1.2.6
(10/12/2022) |
Guideline |
| DU004M |
l. Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Main Board)
|
V1.2.6
(10/12/2022) |
Guideline |
| DU005M |
m. Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Main Board)
|
V1.1.5
(10/12/2022) |
Guideline |
| DU003G |
n. Director's Declaration, Undertaking and Acknowledgement (GEM)
|
V1.2.6
(10/12/2022) |
Guideline |
| DU004G |
o. Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (GEM)
|
V1.2.6
(10/12/2022) |
Guideline |
| DU005G |
p. Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (GEM)
|
V1.1.4
(10/12/2022) |
Guideline |
| e-Form Template Code |
e-Form Templates |
Version No. and
Last Update Date
(dd/mm/yyyy) |
Form Filling Guide |
| |
Forms relating to Directors and Supervisors, Authorised Representatives and Company Secretaries |
|
| FF004 |
a. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer |
V1.3.5
(10/12/2022) |
Guideline |
| DU003M |
b. Declaration and Undertaking with regard to Directors (Main Board) |
V1.2.6
(10/12/2022) |
Guideline |
| DU004M |
c. Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Main Board)
|
V1.2.6
(10/12/2022) |
Guideline |
| DU005M |
d. Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Main Board)
|
V1.1.5
(10/12/2022) |
Guideline |
| |
Forms relating to Announcements and Trading Arrangements
|
|
|
CF006 |
e. Size Tests For Notifiable Transactions and Connected Transactions
|
V1.0.4
(10/12/2022) |
Guideline |
|
CF093 |
f. Trading Arrangement Form |
V1.2.6
(10/12/2022) |
Guideline |
| |
Forms relating to Application for Listing of Securities
|
|
| FFD001M |
g. Formal Application (For Equity Securities)
|
V1.0.4
(08/07/2023) |
Guideline |
| |
Forms relating to Blackout Period
|
|
|
FF005 |
h. Blackout Period Notification Form |
V1.1.4
(10/12/2022) |
-- |
| |
Forms relating to Meeting Notification
|
|
|
|
IF001 |
i. Meeting Notification e-Form * |
V1.0.2
(10/12/2022) |
Guideline |
* If you have any enquiries on the filling of the Meeting Notification e-Form, please call our Hotline at +852 2211 5780 or email at hksccn_cams@hkex.com.hk
| e-Form Template Code |
e-Form Templates |
Version No. and
Last Update Date
(dd/mm/yyyy) |
Form Filling Guide |
| |
Forms relating to Directors and Supervisors, Authorised Representatives, Company Secretaries and Compliance Officers |
|
| FF004 |
a. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer |
V1.3.5
(10/12/2022) |
Guideline |
| DU003G |
b. Declaration, Undertaking and Acknowledgement (GEM) |
V1.2.6
(10/12/2022) |
Guideline |
| DU004G |
c. Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (GEM)
|
V1.2.6
(10/12/2022) |
Guideline |
| DU005G |
d. Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (GEM)
|
V1.1.4
(10/12/2022) |
Guideline |
| |
Forms relating to Announcements and Trading Arrangements
|
|
|
CF006 |
e. Size Tests For Notifiable Transactions and Connected Transactions |
V1.0.4
(10/12/2022) |
Guideline |
| CF093 |
f. Trading Arrangement Form |
V1.2.6
(10/12/2022) |
Guideline |
| |
Forms relating to Application for Listing of Securities
|
|
|
FF201G |
g. Application Form - Equity Securities (of an issuer part of whose share capital is already listed) |
V1.2.7
(08/07/2023) |
Guideline |
| |
Forms relating to Blackout Period
|
|
|
FF005 |
h. Blackout Period Notification Form |
V1.1.4
(10/12/2022) |
-- |
| |
Forms relating to Meeting Notification
|
|
|
|
IF001 |
i. Meeting Notification e-Form *
|
V1.0.2
(10/12/2022) |
Guideline |
* If you have any enquiries on the filling of the Meeting Notification e-Form, please call our Hotline at +852 2211 5780 or email at hksccn_cams@hkex.com.hk
| e-Form Template code |
e-Form Templates |
Version No. and
Last Update Date
(dd/mm/yyyy) |
Form Filling Guide |
| |
Forms relating to Debt Securities and MTN Programme |
|
| DS001 |
New Listing Particulars - Debt Securities |
V1.1.1
(10/12/2022) |
Guideline |
| |
Forms relating to continuing obligations – financial statement submission |
|
DS002
|
Financial Statement Submission Form - For issuer / guarantor of listed debt securities only |
V1.0.0
(10/12/2022) |
Guideline |
4. Announcement Form Templates and Guidelines
To open the Announcement Form Templates, you need to download the Announcement Form Templates and have Adobe Acrobat Reader DC installed. Mobile devices such as tablets and mobile phones can’t be used for the Announcement Form Templates.
All the Announcement Forms under Section 4 have to be submitted to e-Submission System (ESS) by Publication Related Matters users.
- Main Board Issuers / GEM Issuers
Announcement Form Template
Code
|
Announcement Form Templates
|
Version No. and
Last Update Date
(dd/mm/yyyy) |
Form Filling Guide |
|
EF001 |
Cash Dividend Announcement Form |
V1.1.1
(10/12/2022) |
Guideline |
|
EF002 |
Cash Dividend with currency option Announcement Form |
V1.1.1
(10/12/2022) |
Guideline |
|
EF003 |
Cash Dividend with scrip option Announcement Form |
V1.1.1
(10/12/2022) |
Guideline |
|
EF004 |
Cash Dividend with currency and scrip options Announcement Form |
V1.1.1
(10/12/2022) |
Guideline |
|
EF005 |
Bonus issue of shares or warrants Announcement Form |
V1.1.2
(10/12/2022) |
Guideline |
- Structured Product Issuers
Announcement Form Template
Code
|
Announcement Form Templates
|
Version No. and
Last Update Date
(dd/mm/yyyy) |
Form Filling Guide |
| SPEW001 |
Notice of Suspension of Trading and Withdrawal of Listing |
V1.0.0
(10/12/2022) |
Guideline |
| SPRV001 |
Notice of Valuation of Residual Value
|
V1.0.1
(17/11/2023) |
Guideline
|
- CCASS Eligible Debt Securities Issuers
Announcement Form Template
Code |
Announcement Form Templates |
Version No. and
Last Update Date
(dd/mm/yyyy)
|
Form Filling Guide |
|
EF006 |
Interest Payment Announcement Form |
V1.1.1
(10/12/2022) |
Guideline |
5. Return e-Form Templates and Guidelines
To open the Return e-Form Templates, you need to download the Return e-Form Templates and have Adobe Acrobat Reader DC installed. Mobile devices such as tablets and mobile phones can’t be used for the Return e-Form Templates. All the Return e-Forms under Section 5 have to be submitted to e-Submission System (ESS) by Publication Related Matters users.
Return e-Form
Template
Code
|
Return e-Form Templates |
Version No. and
Last Update Date
(dd/mm/yyyy)
|
Form Filling Guide |
| |
Forms relating to Monthly Return and Next Day Disclosure Return
|
|
| FF301 |
Monthly Return e-Form for Equity Issuers and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules
|
V1.0.2
(29/07/2023) |
Guideline / Video |
| FF302 |
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) on Movements in Units |
V1.0.1
(10/12/2022) |
Guideline |
| FF303 |
Monthly Return e-Form on Movement of Open-ended Collective Investment Schemes listed under Chapter 20 of the Exchange Listing Rules
|
V1.0.0
(10/12/2022) |
Guideline / Video |
|
FF304 |
Next Day Disclosure Return e-Form for Equity Issuers and Collective Investment Scheme under Chapter 20 of the Exchange Listing Rules (other than listed open-ended Collective Investment Schemes) |
V1.2.5
(29/07/2023) |
Guideline / Video |
Return e-Form
Template
Code |
Return e-Form Templates |
Version No. and
Last Update Date
(dd/mm/yyyy) |
Form Filling Guide |
|
Forms relating to Monthly Return and Next Day Disclosure Return
|
|
| FF301 |
Monthly Return e-Form for Equity Issuers |
V1.0.2
(29/07/2023) |
Guideline / Video |
|
FF304 |
Next Day Disclosure Return e-Form for Equity Issuers |
V1.2.5
(29/07/2023) |
Guideline / Video |
6. ESS User Guides / Manuals / FAQs
Quick Reference Guide for Listing Related Matters
Quick Reference Guide for Publication Related Matters (Basic)
Quick Reference Guide for Publication Related Matters (Extended)
User Manual for Listing Related Matters
User Manual for Authorised Person, Administrator, Security Officer and DI users
User Manual for Publication Related Matters
- Frequently Asked Questions
Frequently Asked Questions for Listing Related Matters e-Forms (11 Jun 2021)
- Frequently Asked Questions for Publication Related Matters
Frequently Asked Questions for Announcement Forms and Return e-Forms (for Main Board Issuers and GEM Issuers) (10 Dec 2022)
Frequently Asked Questions for Announcement Forms - Interest Payment (for CCASS Eligible Debt Securities Issuers) (10 Dec 2022)
7. Enquiry Hotlines
If you have any enquiries on the filling of the Announcement Forms and Meeting Notification e-Form (IF001), please call our Hotline 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