Profile Setting and Administration

No. Your ESS Administrator should make the change in the respective field of the “Company Details” page under “Profile Admin" function accordingly.

Under the Listing Rules, every listed issuer must have its own website for publication of regulatory filings. Listed issuers should ensure the "Company Website" field from time to time is complete, correct and accurate. The hyperlink should direct investors to the regulatory filings, and not the home page of its company's website. The Exchange uses this information to update a list of company's website addresses on the HKEXnews website.

No. You do not have to write to HKEX to change your user profiles. You can update your profile by clicking the “User Details” button under the “Profile Admin” function.

All ESS users should ensure all information provided to HKEX from time to time is complete, correct and accurate.

You should contact HKEX only when you need to register a change of ESS Authorised Person. Your ESS Administrator should submit the request along with a copy of board resolution (or equivalent document) authorising a director or any other person as the ESS Authorised Person of your company via the “Change of Authorised Person” function in ESS.

If the resigned user is an Administrator or a Security Officer, your ESS Authorised Person should change the user identity via the “Change of Administrator or Security Officer” function in ESS.

If the resigned user is a Publication Related Matter user, a Listing Related Matter user or a DI user, your ESS Authorised Person should delete the resigned user account and register a new user in ESS (if necessary) via “Profile Admin” function in ESS.

No. Two Publication Related Matter Users (i.e. a submitter and an approver) are required. Publication Related Matter Users are segregated into two roles: submitter and approver. Users with the submitter role can only submit documents whilst users with the approver role can only approve the submission.

Different roles of Publication Related Matter users (including listed issuers and their authorised agents) enable the segregation of duties. In addition to access control, segregating these duties provides an additional level of internal controls for ESS users. This is also a basic internal control feature of equivalent submission systems used in leading international markets.

ESS Authorised Person must decide which of its employees should perform the role of submitter and which should perform the role of approver in line with its own internal control procedure.

The “Appointment of Approvers” function is dedicated to the Authorised Person of both listed issuers and agents to control over the approval of document submissions by each approver of his/her company. Authorised Person can set criteria to control approvals to be made by its appointed approvers, either by the number of approvals or a time range or both.

The default setting is disabled (meaning that every approver can approve document submissions without restrictions).

Once it is set up by the Authorised Person, the relevant approvers can view their own assignments at the User Home Page.

Yes. Before the appointment period is expired, a reminder email will be sent to the Authorised Person(s).

The Authorised Person should review and update the appointment list through the “Appointment of Approvers” function of ESS. After expiry of the appointment, the related Approvers will no longer be allowed to approve submission of documents for publication purpose. Please refer to User Manual for Authorised Person, Administrator, Security Officer and DI Users for detailed instructions.