GEM Issuers

Checklists and Forms

Last updated in September 2023

These checklists and forms are provided to assist compliance with the Listing Rules and administrative procedures.They:

highlight Listing Rule disclosure and specific compliance requirements on (i) the content of listed issuers’ documents (e.g. announcements, circulars) and (ii) particular transactions which are the subject of those documents. These checklists are generally provided for guidance purpose, but may be required to be submitted to the Exchange under the circumstances stated in the notes under "Submission Requirements" in the list below (for example, disclosure checklists should be submitted with draft copies of pre-vetted documents). Please refer to Part A of the list below.

facilitate the provision of information required by the Exchange in specific circumstances. For example, information related to securities listed/ to be listed on the Exchange for the purpose of seeking the Exchange’s prior consent on the trading arrangements under GEM Rule 17.53B(1). Please refer to Part A of the list below.

3.	set out documentary requirements in respect of transactions and corporate actions taken by listed issuers. Please refer to Part B of the list below.

4.	provide templates and forms specified under the Listing Rules. Please refer to Parts C and D of the list below.

The requirements and documents set out in the checklists and forms are not exhaustive. Depending on the circumstances of any particular case, the Exchange may request additional information/documents.

To download a checklist or form or template, please click on the relevant link below.

If you have any enquiries on the filling of the Announcement Forms and Meeting Notification e-Form (IF001), please call Post Trade Division 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

Template Code	Part A: Checklist	Submission Requirement
	I. Checklists and Forms relating to Announcements and Trading Arrangements
CF025G	Basic Qualifications for Listing of a New Class of Equity Securities	Note 1
CF009G	Issue of Securities for Cash - Announcement	Note 5
CF007G	Notifiable Transaction and Connected Transaction - Announcement	Note 2, 3
CF006 (Filling Guide)	Size Tests for Notifiable Transactions and Connected Transactions	Note 2, 3, 7
CF092	References to Major Listing Rules Requirements related to Issuance of Securities	Note 5
CF093 (Filling Guide)	Trading Arrangement Form	Note 1, 7
	II. Checklists relating to Circulars and Listing Documents
	*Transactions*
CF016G	Connected Transaction – Circular	Note 4
CF014G	Major Acquisition – Circular	Note 4
CF015G	Major Realisation and Very Substantial Disposal - Circular	Note 4
CF008G	Very Substantial Acquisition / Extreme Transaction - Circular; Reverse Takeover - Listing Document	Note 4
	*Issue of securities*
CF017G	Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities – Listing Document	Note 4
CF214G	Issue of Securities (other than Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities/ Rights Issue/ Open Offer) - Listing Document	Note 4
CF026G	Issue of Warrants, Options or Similar Rights Under Chapter 21 - Circular	Note 4
CF011G	Rights Issue/ Open Offer - Listing Document	Note 4
CF019G	Share Scheme – Circular	Note 4
CF005G	Supplemental Information for PRC Issuer - Listing Document	Note 4
	*Others*
CF020G	Explanatory Statements Relating to Share Repurchase by Listed Issuers	Note 5
CF021G	Valuation of Properties Being Acquired or Disposed of	Note 4
	III. Other Checklists
CF023G	Definitive Document of Title of Equity Securities	Note 5

Template Code	Part B: Checklists relating to Documentary Requirements	Submission Requirement
	*Transactions*
DR001G	Connected Transactions	Note 5
DR002G	Notifiable Transactions	Note 5
	*Issue of securities*
DR003G	Adoption of Share Scheme/ Refreshment of Share Scheme Limit	Note 5
DR004G	Capital Reduction/ Share Consolidation/ Share Subdivision	Note 5
DR005G	Capitalisation Issue (Bonus Issue/ Scrip Dividend Scheme)	Note 5
DR006G	Issue of Unlisted Convertible Debt Securities	Note 5
DR007G	Issue of Warrants/ Convertible Equity Securities	Note 5
DR008G	Placing	Note 5
DR009G	Rights Issue/ Open Offer	Note 5
	*Others*
DR010G	Amendments to Memorandum or Articles of Association or Equivalent Documents	Note 5
DR011	Change of Company Name/ Addition of Chinese Name	Note 5
DR012G	Change of Directors/ Supervisors	Note 5
DR013G	Explanatory Statements relating to Share Repurchases by Listed Issuers	Note 5

Template Code	Part C: Forms specified under the Listing Rules	Submission Requirement
	I. Monthly Returns and Next Day Disclosure Returns
FF301 (Filling Guide)	Monthly Return e-Form for Equity Issuers	Note 8
FF304 (Filling Guide)	Next Day Disclosure Returns e-Form for Equity Issuers	Note 8
	II. Forms relating to Directors and Supervisors
DU003G (Filling Guide)	Director's Declaration, Undertaking and Acknowledgement (Form A of Appendix 6)	Note 7
DU004G (Filling Guide)	Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (Form B of Appendix 6)	Note 7
DU005G (Filling Guide)	Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (Form C of Appendix 6)	Note 7
	III. Forms relating to Application for Listing of Securities
FF201G (Filling Guide)	Application Form - Equity Securities (of an issuer part of whose share capital is already listed) (Form B in Appendix 5)	Note 7
FF211G	Compliance Adviser’s Declaration of Interests (Form H in Appendix 7)
FF018G	Declaration of Compliance (Form E of Appendix 5)
FF017G	Marketing Statement (concerning a placing of equity securities) (Form D in Appendix 5)
	IV. Other Forms
FF003G	Company Information Sheet (Form F in Appendix 5)
FF212G	Declaration in relation to Certain Listing Documents Issued by an Issuer (Form J in Appendix 7)

Template Code	Part D: Other Forms	Submission Requirement
FF004 (Filling Guide)	Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (GEM only)	Note 7
FF005	Blackout Period Notification Form	Note 7
CI205G	Placees Information Summary	Note 6

Template Code	Part E: Announcement Forms	Submission Requirement
EF001 (Filling Guide)	Cash Dividend Announcement Form	Note 8
EF002 (Filling Guide)	Cash Dividend with currency option Announcement Form	Note 8
EF003 (Filling Guide)	Cash Dividend with scrip option Announcement Form	Note 8
EF004 (Filling Guide)	Cash Dividend with currency and scrip options Announcement Form	Note 8
EF005 (Filling Guide)	Bonus issue of shares or warrants Announcement Form	Note 8

Template Code	Form F: Forms relating to Meeting Notification	Submission Requirement
IF001 (Filling Guide)	Meeting Notification e-form	Note 7

Notes relating to checklists:

1.	A listed issuer must submit the duly completed form(s) to the Exchange for purposes of obtaining the Exchange’s consent in respect of trading arrangements under GEM Rule 17.53B(1).
2.	For transactions of which the draft announcement is subject to pre-vetting by the Exchange, a listed issuer must submit the completed announcement checklist and size test checklist to the Exchange at the same time it submits the draft announcement to the Exchange for review under GEM Rule 17.53(2).
3.	For transactions of which the draft announcement is not subject to pre-vetting by the Exchange, a listed issuer must submit the completed size test checklist to the Exchange on or before the publication of the announcement. It need not submit the announcement checklist unless requested by the Exchange (see also note 5).
4.	A listed issuer must complete the relevant checklist and submit it to the Exchange at the same time it submits the draft circular/listing document to the Exchange for review under GEM Rule 17.53(1).
5.	The Exchange may request information and/or documents to demonstrate compliance with the Listing Rules in individual cases. In such cases, the Exchange may request submission of the checklist(s).
6.	The listed issuer must submit an electronic format of the completed Placees Information Summary to the Exchange.
7.	A listed issuer must submit the completed Listing Related Matters e-Form using the e-Submission System (ESS) (https://www1.eSubmission.hkex.com.hk).
8.	A listed issuer must submit the Announcement Form or Return e-Form using the e-Submission System (ESS) (https://www1.eSubmission.hkex.com.hk).

Updated 28 Sep 2023