| 1 General |
M120
|
Template – Information Required from Overseas Issuer
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- |
G101
|
GEM Board: Table of Contents of Checklists and Forms for New Listing Applications
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- |
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i. To be submitted together with pre-IPO enquiries regarding the interpretation of the Listing Rules which are novel and specific / Form A1/ Form A
|
G118
(Filling Guide)
|
Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form A (e-Form) |
V1.1.2
(31/12/2023) |
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ii. To be submitted at least two months before the listing application
|
SE001
(Filling Guide) |
Sponsor Engagement Notification (to be submitted together with the sponsor engagement letter) (e-Form) |
V1.3.4
(31/12/2023)
|
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iii. To be submitted at least three business days before submission of the listing application
|
| CN001 |
Request for Company Case Number |
- |
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iv. To be submitted with Form A1
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G103*
(Filling Guide)
|
GEM Board : IPO - Form A - Listing Application Form (Equity Securities of an issuer no part of whose share capital is already listed) (e-Form) (GEM Regulatory Forms, Form A, originally Appendix 5, Form A) |
V1.3.4
(31/12/2023) |
| G104 |
GEM Board : IPO - Additional Information to be submitted together with the Form A
|
- |
G111
|
GEM Board : IPO - Market comparable analysis
|
- |
G112
(Filling Guide)
|
GEM Board : IPO - Application for waiver from strict compliance with requirement under the GEM Listing Rules (e-Form)
|
V1.1.3
(31/12/2023)
|
G118
(Filling Guide)
|
Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form A (e-Form)
|
V1.1.2
(31/12/2023) |
FF004
(Filling Guide)
|
Personal Details Form (Originally “GEM Board: IPO – Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer”) (e-Form)
|
V1.4.1
(06/01/2024) |
|
v. To be submitted at least 4 clear business days before the expected hearing date
|
G201
(Filling Guide)
|
GEM Board : IPO - New listing particulars (e-Form)
|
V1.2.3
(31/12/2023) |
|
vi. To be submitted after the issue of the listing document but before dealings commence
|
FF017G*
|
GEM Board : IPO - Form D - Marketing and Independence Statement (this form should be completed and submitted on FINI with effect from 22 November 2023) (GEM Regulatory Forms, Form D, originally Appendix 5, Form D)
|
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G401*
|
GEM Board : IPO - Form E - Sponsor's declaration of compliance concerning a new applicant (this form should be completed and submitted on FINI with effect from 22 November 2023) (GEM Regulatory Forms, Form E, originally Appendix 7, Form I)
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| FF018G* |
GEM Board : IPO - Form F - Declaration of compliance (this form should be completed and submitted on FINI with effect from 22 November 2023) (GEM Regulatory Forms, Form F, originally Appendix 5, Form E)
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G402
|
GEM Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage (this form should be completed and submitted on FINI with effect from 22 November 2023)
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CI205G
|
GEM Board : IPO – Placee Information Sheet (this form should be completed and submitted on FINI with effect from 22 November 2023)
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FF003G*
|
GEM Board : IPO – Form G – Company information sheet (GEM Regulatory Forms, Form G, originally Appendix 5, Form F)
|
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2. Templates
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| GT001 |
Model Form of Formal Notice for Offers for Sale or Subscription (Originally Appendix 10, Form A) |
|
| GT002 |
Model Form of Formal Notice for Introductions (Originally Appendix 10, Form B)
|
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| GT003 |
Model Form of Formal Notice for placings (Originally Appendix 10, Form C)
|
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| G105 |
GEM Board : IPO - Basic qualifications for new listing |
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| G106 |
GEM Board : IPO - Basic requirements for contents of listing document |
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| G107 |
GEM Board : IPO - Property valuation |
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| G108 |
GEM Board : IPO - Accountants' report |
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