GEM Debt Securities Issuers
Last updated in December 2023. Appendix numbers were re-organised with effect from 31 December 2023. Click here to view the Appendix Number Destination Table.
Unless otherwise specified, all applications, correspondences and forms should be sent via electronic means to the Exchange through the Exchange’s e-Submission System (ESS) (https://www1.eSubmission.hkex.com.hk) or by email.
Forms which are marked as “(e-form)” should be downloaded and submitted through ESS.
To open the e-Form Templates, please download the e-Form Templates and have Adobe Acrobat Reader DC installed. Mobile devices such as tablets and mobile phones cannot be used for the e-Forms Templates.
* Documents marked with an asterisk (*) form part of the Listing Rules. Failure to comply with the requirements contained in these documents is a breach of the Listing Rules and may result in the commencement of disciplinary proceedings.
| Document Code |
Document Name |
| 1. General |
DS001
(Filling Guide)
|
Forms relating to Debt Securities and MTN Programme
New Listing Particulars – Debt Securities (e-Form)
|
DS002
(Filling Guide)
|
Forms relating to continuing obligations – financial statement submission
Financial Statement Submission Form – For issuer / guarantor of listed debt securities only (e-Form)
|
EF006
(Filling Guide)
|
CCASS Eligible Debt Securities Issuers
Interest Payment Announcement Form (e-Form) |
| 2. Forms specified under the Listing Rules (Forms relating to Application for Listing of Securities) |
| FF202G* |
Listing Application Form (For Debt Securities) (GEM Regulatory Forms, Form C, originally Appendix 5, Form C) |
FF018G*
|
GEM Board : Issuer’s Declaration of compliance (GEM Regulatory Forms, Form F, originally Appendix 5, Form E)
|
FF003G*
|
GEM Board : Company information sheet (GEM Regulatory Forms, Form G, originally Appendix 5, Form F)
|
FF004
(Filling Guide)
|
Personal Details Form (originally “Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer”) (e-Form)
|
3. Templates
|
| GT001 |
Model Forms of Formal Notice For Offers For Sale Or Subscription (Originally Appendix 10, Form A) |
| GT003 |
Model Forms of Formal Notice For Placings (Originally Appendix 10, Form C)
|
| GT004 |
Model Forms of Formal Notice For Debt Issues to Professional Investors only (Originally Appendix 10, Form D)
|