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Main Board 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 Main Board Rule 13.52B(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

CF025M

  • Basic Qualifications for Listing of a New Class of Equity Securities

Note 1

CF009M

  • Issue of Securities for Cash - Announcement

Note 5

CF007M

  • 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

CF016M

  • Connected Transaction – Circular

Note 4

CF014M

  • Major Acquisition / Very Substantial Acquisition / Extreme Transaction – Circular;

    Reverse Takeover - Listing Document

Note 4

CF015M

  • Major Realisation and Very Substantial Disposal - Circular

Note 4

Issue of securities

CF017M


  • Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities – Listing Document

Note 4


CF214M


  • Issue of Securities (other than Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities/ Rights Issue/ Open Offer) - Listing Document

Note 4


CF026M

  • Issue of Warrants, Options or Similar Rights under Chapter 15 - Circular

Note 4

CF011M

  • Rights Issue/ Open Offer - Listing Document

Note 4

CF019M

  • Share Option Scheme – Circular

Note 4

CF028M

  • Supplemental Information for Investment Company - Listing Document

Note 4

CF005M

  • Supplemental Information for PRC Issuer - Listing Document

Note 4

Others

CF020M

  • Explanatory Statements Relating to Share Repurchase by Listed Issuers

Note 5

CF021M

  • Valuation of Properties Being Acquired or Disposed of

Note 4

III.  Other Checklists

CF023M

  • Definitive Document of Title of Equity Securities

Note 5

Template Code Part B: Checklists relating to Documentary Requirements Submission Requirement
Transactions

DR001M

  • Connected Transactions 

Note 5

DR002M

  • Notifiable Transactions 

Note 5

Issue of securities

DR003M

  • Adoption of Share Option Scheme/ Refreshment of Share Option Scheme Limit

Note 5

DR004M

  • Capital Reduction/ Share Consolidation/ Share Subdivision

Note 5

DR005M

  • Capitalisation Issue (Bonus Issue/ Scrip Dividend Scheme)

Note 5

DR006M

  • Issue of Unlisted Convertible Debt Securities

Note 5

DR007M

  • Issue of Warrants/ Convertible Equity Securities

Note 5

DR008M

  • Placing

Note 5

DR009M

  • Rights Issue/ Open Offer

Note 5

Others

DR010M


  • Amendments to Memorandum or Articles of Association or Equivalent Documents

Note 5


DR011

  • Change of Company Name/ Addition of Chinese Name

Note 5

DR012M

  • Change of Directors/ Supervisors

Note 5

DR013M

  • 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 and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules
Note 8
FF302
(Filling Guide)            
  • Monthly Return e-Form for Collective Investment Schemes listed under Chapter 20 of the Exchange Listing Rules (other than listed open-ended Collective Investment Schemes) on Movements in Units                 
Note 8
FF303
(Filling Guide)            
  • Monthly Return e-Form on Movement of Open-ended Collective Investment Schemes listed under Chapter 20 of the Exchange Listing Rule 
Note 8
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 8
II.  Forms relating to Directors and Supervisors
DU003M 
(Filling Guide
  • Declaration and Undertaking with regard to Directors (Form B of Appendix 5)

Note 7
DU004M 
(Filling Guide
  • Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Form H of Appendix 5)

Note 7
DU005M  
(Filling Guide
  • Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Form I of Appendix 5)

Note 7
III.  Forms relating to Application for Listing of Securities

FFD004M

  • Declaration (Form F in Appendix 5)

FFD001M
(Filling Guide
  • Formal Application (For Equity Securities) (Form C1 in Appendix 5)

Note 7

FFD007M

  • Formal Application (For Collective Investment Schemes) (Form C3 in Appendix 5)

FFD008M



  • Formal Application (For Open-Ended Investment Companies, Unit Trusts, Mutual Funds and Other Collective Investment Schemes Governed by Chapter 21 of the Listing Rules) (Form C3Z in Appendix 5)

FFD003M

  • Marketing Statement  (Form D in Appendix 5)

Template Code Part D: Templates 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 

CI205M

  • 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 Main Board Rule 13.52B(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 Main Board Rule 13.52(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 Main Board Rule 13.52(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. A 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