| 1.1 General |
M120
|
Template – Information Required from Overseas Issuer
|
- |
M101
|
Table of Contents of Checklists and Forms for New Listing Applications
|
- |
|
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
|
M119
(Filling Guide)
|
Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form 5A (e-Form) |
V1.1.2
(31/12/2023) |
|
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) |
|
iii. To be submitted at least three business days before submission of the listing application
|
| CN001 |
Request for Company Case Number |
- |
|
iv. To be submitted with Form A1
|
M103*
(Filling Guide)
|
Listing Application Form (For Equity Securities and Debt Securities) (MB Regulatory Forms, Form A1, originally Appendix 5, Form A1) |
V1.4.7
(31/12/2023) |
| M104 |
Additional information to be submitted together with the Form A1 |
- |
M111
|
Market comparable analysis
|
- |
M112
(Filling Guide)
|
Application for waiver from strict compliance with requirement under the Listing Rules (e-Form)
|
V1.1.3
(31/12/2023) |
M119
(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 “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
|
M201
(Filling Guide)
|
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
|
FFD003M*
|
Main Board : IPO - Form D – Marketing and Independence Statement (this form should be completed and submitted on FINI with effect from 22 November 2023) (MB Regulatory Forms, Form D, originally Appendix 5, Form D)
|
- |
| M401* |
Main Board : IPO - Form E – Sponsor’s Declaration (this form should be completed and submitted on FINI with effect from 22 November 2023) (MB Regulatory Forms, Form E, originally Appendix 5, Form E)
|
- |
M402
|
Main 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)
|
- |
FFD004M*
|
Main Board : IPO - Form F – Declaration (this form should be completed and submitted on FINI with effect from 22 November 2023) (MB Regulatory Forms, Form F, originally Appendix 5, Form F)
|
- |
CI205M
|
Main Board : IPO - Placee information sheet (this form should be completed and submitted on FINI with effect from 22 November 2023)
|
- |
| 1.2 Additional documents to be submitted for Chapter 21 company |
|
i. To be submitted at least 4 clear business days before the expected hearing date
|
M501*
(Filling Guide)
|
Formal Application (For Open-ended Investment Companies, Unit Trusts, Mutual Funds and Other Collective Investment Schemes Governed by Chapter 21 of the Listing Rules) (e-Form) (MB Regulatory Forms, Form C3Z, originally Appendix 5, Form C3Z)
|
V1.0.2
(31/12/2023) |
1.3 Checklists and Forms for Collective Investment Schemes under Chapter 20
|
|
i. To be submitted at least one business days before submission of the listing application
|
CN001 (CIS)
|
Request for Company Case Number for new CIS applicant
|
- |
|
ii. To be submitted together with Form A2
|
CIS002*
(Filling Guide)
|
Listing application Form (For Collective Investment Schemes) (e-Form) (MB Regulatory Forms, Form A2, originally Appendix 5, Form A2)
|
V1.1.3
(31/12/2023) |
|
iii. To be submitted after the issue of the listing document but before dealings commence
|
CIS004
|
Issue of Listing Document – Confirmation Letter of SFC’s authorisation
|
- |
|
iv. Where there is an IPO of the CIS Units, to be submitted after the issue of the listing document but before dealings commence
|
CIS005
|
Main 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)
|
- |
CIS006*
|
Main Board : IPO - Form D - Marketing and Independence Statement (this form should be completed and submitted on FINI with effect from 22 November 2023) (MB Regulatory Forms, Form D, originally Appendix 5, Form D)
|
- |
CIS007
|
Placee information sheet (this form should be completed and submitted on FINI with effect from 22 November 2023)
|
- |
1.4 Checklists and Forms for Transfer of Listing from GEM to Main Board (for Eligible Issuers under Chapter 9B)
|
|
i. To be submitted at least one business days before submission of the listing application
|
| CN001 |
Request for Company Case Number
|
- |
|
ii. To be submitted together with Form G
|
| T103* |
Listing application Form (For Transfer of Listing from GEM to Main Board (for Eligible Issuers under Chapter 9B)) (MB Regulatory Forms, Form G)
|
- |
M119*
(Filling Guide)
|
Additional Information to be submitted with Pre-IPO Enquiry / Form A1 / Form A (e-Form)
|
V1.1.2
(31/12/2023)
|
2. Templates
|
| MT001 |
Model Form of Formal Notice for Offers for Sale or Subscription (Originally Appendix 11, Form A) |
- |
| MT002 |
Model Form of Formal Notice for Introductions (Originally Appendix 11, Form B)
|
- |
| MT003 |
Model Form of Formal Notice for Placings (Originally Appendix 11, Form C)
|
- |
| M105 |
Main Board : IPO - Basic qualifications for new listing |
- |
| M106 |
Main Board : IPO - Basic requirements for contents of listing document |
- |
| M107 |
Main Board : IPO - Property valuation |
- |
| M108 |
Main Board : IPO - Accountants' report |
- |