Main Board 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 Main Board Rule 13.52B(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.

Document Code	Document Name	Submission Requirement
*1. Checklists*
*1.1 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 (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
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
ii. 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 Scheme – Circular	Note 4
CF028M	Supplemental Information for Investment Company – Listing Document	Note 4
CF005M	Supplemental Information for PRC Issuer – Listing Document	Note 4
iii. Others
CF020M	Explanatory Statements Relating to Share Repurchase by Listed Issuers	Note 5
CF021M	Valuation of Properties Being Acquired or Disposed of	Note 4
*1.3 Other Checklists*
CF023M	Definitive Document of Title of Equity Securities	Note 5
*2. Checklists relating to Documentary Requirements*
i. Transactions
DR001M	Connected Transactions	Note 5
DR002M	Notifiable Transactions	Note 5
ii. Issue of securities		Note 5
DR003M	Adoption of Share Scheme/ Refreshment of Share 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
iii. Others
DR011	Change of Company Name/ Addition of Chinese Name	Note 5
DR012M	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
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 7
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 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*
FFD001M* (Filling Guide)	Formal Application (For Equity Securities) (e-Form) (MB Regulatory Forms, Form C1, originally Appendix 5, Form C1)	Note 7
FFD007M*	Formal Application (For Collective Investment Schemes) (MB Regulatory Forms, Form C3, originally Appendix 5, Form C3)
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) (MB Regulatory Forms, Form C3Z, originally Appendix 5, Form C3Z)
FFD003M*	Marketing and Independence Statement (MB Regulatory Forms, Form D, originally Appendix 5, Form D)
*3.3 Forms relating to Directors and Supervisors (for appointments before 31 December 2023)*
DU003M (Filling Guide)	Declaration and Undertaking with regard to Directors (e-Form) (Originally Appendix 5, Form B)	Note 7
DU004M (Filling Guide)	Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (e-Form) (Originally Appendix 5, Form H)	Note 7
DU005M (Filling Guide)	Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (e-Form) (Originally Appendix 5, Form I)	Note 7
*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
CI205M	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 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, the Announcement Form or Return e-Form using the e-Submission System (ESS) (https://www1.eSubmission.hkex.com.hk).