GEM 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.

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 pre-vetted documents). Please refer to “1. Checklists” 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 “1. Checklists” of the list below.

3.	set out documentary requirements in respect of transactions and corporate actions taken by listed issuers. Please refer to “2. Checklists relating to Documentary Requirements” of the list below.

4.	provide templates and forms specified under the Listing Rules. Please refer to “3. Forms specified under the Listing Rules”, “4. Templates”, “5. Announcement Forms” and “6. Forms relating to Meeting Notification” 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. 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.

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

* 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.

GEM Document Code	Document Name	Submission Requirement
*1. Checklists*
*1.1 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 (e-Form)	Note 2, 3, 7
CF092	References to Major Listing Rules Requirements related to Issuance of Securities	Note 5
CF093 (Filling Guide)	Trading Arrangement Form (e-Form)	Note 1, 7
*1.2 Checklists relating to Circulars and Listing Documents*
i. 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
ii. 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
iii. Others
CF020G	Explanatory Statements Relating to Share Repurchase by Listed Issuers	Note 5
CF021G	Valuation of Properties Being Acquired or Disposed of	Note 4
1.3 Other Checklists
CF023G	Definitive Document of Title of Equity Securities	Note 5
2. Checklists relating to Documentary Requirements
i.Transactions
DR001G	Connected Transactions	Note 5
DR002G	Notifiable Transactions	Note 5
ii. 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
iii. Others
DR011	Change of Company Name/ Addition of Chinese Name	Note 5
DR012G	Change of Directors/ Supervisors	Note 5
*3. Forms specified under the Listing Rules*
3.1 Monthly Returns and Next Day Disclosure Returns
FF301 (Filling Guide)	Monthly Return e-Form for Equity Issuers and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules	Note 7
FF304 (Filling Guide)	Next Day Disclosure Return e-Form for Equity Issuers and Collective Investment Scheme under Chapter 20 of the Exchange Listing Rules (other than listed open-ended Collective Investment Schemes)	Note 7
*3.2 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) (e-Form) (GEM Regulatory Forms, Form B, originally Appendix 5, Form B)	Note 7
FF017G*	Marketing and Independence Statement (GEM Regulatory Forms, Form D, originally Appendix 5, Form D)
*3.3 Forms relating to Directors and Supervisors (for appointments before 31 December 2023)*
DU003G (Filling Guide)	Director's Declaration, Undertaking and Acknowledgement (e-Form) (Originally Appendix 6, Form A)	Note 7
DU004G (Filling Guide)	Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (e-Form) (Originally Appendix 6, Form B)	Note 7
DU005G (Filling Guide)	Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (e-Form) (Originally Appendix 6, Form C)	Note 7
*3.4 Other Forms*
FF003G*	Company Information Sheet (GEM Regulatory Forms, Form G, originally Appendix 5, Form F)
4. Templates
FF004 (Filling Guide)	Personal Details Form (originally “Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (GEM only)”) (e-Form) (this form should be completed and submitted for appointments on or after 31 December 2023)	Note 7
FF005	Blackout Period Notification Form	Note 7
CI205G	Placees Information Summary	Note 6
5. Announcement Forms
EF001 (Filling Guide)	Cash Dividend Announcement Form	Note 7
EF002 (Filling Guide)	Cash Dividend with currency option Announcement Form	Note 7
EF003 (Filling Guide)	Cash Dividend with scrip option Announcement Form	Note 7
EF004 (Filling Guide)	Cash Dividend with currency and scrip options Announcement Form	Note 7
EF005 (Filling Guide)	Bonus issue of shares or warrants Announcement Form	Note 7
6. Forms relating to Meeting Notification
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, the Announcement Form or Return e-Form using the e-Submission System (ESS) (https://www1.eSubmission.hkex.com.hk).