The IPO Vetting Department of the Listing Division is responsible for processing applications for new equity listings including transactions by listed companies deemed to be new listings and processing pre-IPO enquiries relating to new equity listings. The existing Listing Rules require that a substantially complete application proof and certain documents to be submitted to the Listing Division with the listing application form. The relevant rules, the required documents and the guidance on interpretation and procedures are set out in Listing Matters regarding Sponsor Regulation.

Pre-IPO enquiry contact

In the context of preparing a potential applicant for listing, if the potential applicant and its professional adviser have queries regarding the interpretation of the Listing Rules which are novel and specific, the potential applicant or its professional adviser may contact the Listing Division to seek further guidance. The Listing Division requires that any query be prepared in writing, with the name of the potential applicant to be stated, and submitted together with the Listing e-Form (M119/G118)¹ through e-Submission System (ESS). Any submission through email may not be received and handled by the Listing Division. The Listing Division reserves the right to require that any query which is submitted to it, is accompanied by such information or documentation as the Listing Division deems appropriate or necessary.

Enquiries on no-name basis, or on the issues which are not novel, or the enquiries are taken as a means to get a listing document vetted before an application is submitted will not be considered.

This section aims to provide channels on pre-IPO enquiry. For other enquiries, please visit this webpage: Contact

For pre-IPO enquiries, the potential applicant or its professional adviser may contact the Listing Division using the details below.

	General telephone number	:	2522 1122
	e-Submission System (ESS)	:	Professional adviser should register for a valid e- Submission System (ESS) account for Listing Related Matters in order to submit the pre-IPO enquiries and the Listing e-Form (M119/G118). Information on registration procedures and documentation requirements in connection with an ESS application are set out HERE.
	Address:	:	Hong Kong Exchanges and Clearing Limited, 12/F Two Exchange Square, 8 Connaught Place, Central, Hong Kong

Contact persons:

Stephanie Lau, Managing Director

Li-Chien Wong, Managing Director

Catherine Choi, Senior Vice President

Cora Lei, Senior Vice President

Lewis To, Senior Vice President

Maria Chan, Senior Vice President

Miranda Mak, Senior Vice President

Amanda Shum, Vice President

Candice Yung, Vice President

Fiona Cheng, Vice President

Florence Tsang, Vice President

Geoffrey Tong, Vice President

Jessie Chan, Vice President

Monica Woll, Vice President

Patrick Lam, Vice President

Queency Chen, Vice President

Tammy Hui, Vice President

Tic Lo, Vice President

Vernon Tam, Vice President

 

IPO processing contact

When a listing application is made to the Exchange, a case number will be assigned to the applicant and the sponsor will be notified with the contact details of the vetting team. For any enquiries relating to the applicant, the sponsor should contact the vetting team.

 

¹ Please visit the HERE to download Listing e-Form (M119/G118) and guidance materials