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GEM Issuers

Checklists and Forms

Last updated in July 2021

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

1. 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.

2. 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 Option 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 Option Scheme/ Refreshment of Share Option 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 10 Jul 2021