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. |
set out documentary requirements in respect of transactions and corporate actions taken by listed issuers. Please refer to Part B of the list below.
|
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 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
|
|
Note 6
|
Notes relating to checklists: