Market Turnover
-






-
-
|
|
|
|
|
|
-
-
-
Loading

Listing e-Forms

The Listing Division has recently introduced electronic forms (the “Listing e-Forms”) with a view to:

(a) standardise the presentation of routine information in order to reduce processing time;

(b) reduce the risk of manual input error through the use of data validation within e-Form fields; and

(c) assist the Exchange in collecting and analysing data more efficiently.

This web corner contains all of our guidance on this subject.

1. Letter to Issuers

2. Video Tutorials

Video content  
a. Submission for Listing Related Matters e-Form English Cantonese Putonghua
b. Download e-Form Templates English Cantonese Putonghua
c. Appointment of Agents for Listing Related Matters English Cantonese Putonghua

 

3. e-Form Templates and Guidelines

To open the e-form templates, you need to download the e-form and have Adobe Acrobat Reader DC installed. Mobile devices such as tablets and mobile phones can’t be used for the e-forms.

  • New Applicants
E-Form Template code e-Form Templates Last Update Date (dd/mm/yyyy) Form Filling Guide
  Forms relating to sponsor engagement  
SE001 a. Sponsor Engagement Notification 27/02/2021 Guideline
  Forms relating to IPOs
 
M103 b. Listing Application Form (For Equity Securities & Debt Securities) (Main Board) 27/02/2021 Guideline
G103 c. Listing Application Form (For Equity Securities of an issuer no part of whose share capital is already listed) (GEM)
27/02/2021 Guideline
M201 / G201 d. New Listing Particulars (Main Board and GEM)
27/02/2021 Guideline
  Forms relating to Directors and Supervisors, Authorised Representatives, Company Secretaries and Compliance Officers
 
FF004 e. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (Main Board and GEM)
27/02/2021 Guideline
DU003M f. Declaration and Undertaking with regard to Directors (Main Board)
27/02/2021 Guideline
DU004M g. Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Main Board)
27/02/2021 Guideline
DU005M h. Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Main Board)
27/02/2021 Guideline
DU003G i. Director's Declaration, Undertaking and Acknowledgement (GEM)
27/02/2021 Guideline
DU004G j. Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (GEM)
27/02/2021 Guideline
DU005G k. Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (GEM)
27/02/2021 Guideline
   
  • Main Board Issuers
E-Form Template code  e-Form Templates Last Update Date (dd/mm/yyyy) Form Filling Guide
  Forms relating to Directors and Supervisors, Authorised Representatives and Company Secretaries  
FF004 a. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer 27/02/2021 Guideline
DU003M b. Declaration and Undertaking with regard to Directors (Main Board) 27/02/2021 Guideline
DU004M c. Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Main Board)
27/02/2021 Guideline
DU005M d. Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Main Board)
27/02/2021 Guideline
  Forms relating to Announcements and Trading Arrangements
 
CF006

e. Size Tests For Notifiable Transactions and Connected Transactions

27/02/2021 Guideline
CF093 f. Trading Arrangement Form
27/02/2021 Guideline
  Forms relating to Application for Listing of Securities
 
FFD001M g. Formal Application (For Equity Securities)
27/02/2021 Guideline
  Forms relating to Blackout Period
 
FF005 h. Blackout Period Notification Form
27/02/2021 --
   
  • GEM Issuers
E-Form Template code  e-Form Templates Last Update Date (dd/mm/yyyy) Form Filling Guide
  Forms relating to Directors and Supervisors, Authorised Representatives, Company Secretaries and Compliance Officers  
FF004 a. Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer 27/02/2021 Guideline
DU003G b. Declaration, Undertaking and Acknowledgement (GEM) 27/02/2021 Guideline
DU004G c. Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) (GEM)
27/02/2021 Guideline
DU005G d. Supervisor's declaration, undertaking and acknowledgement in respect of an Issuer incorporated in the PRC (GEM)
27/02/2021 Guideline
  Forms relating to Announcements and Trading Arrangements
 
CF006

e. Size Tests For Notifiable Transactions and Connected Transactions

27/02/2021 Guideline
CF093 f. Trading Arrangement Form
27/02/2021 Guideline
  Forms relating to Application for Listing of Securities
 
FF201G g. Application Form - Equity Securities (of an issuer part of whose share capital is already listed)
27/02/2021 Guideline
  Forms relating to Blackout Period
 
FF005 h. Blackout Period Notification Form
27/02/2021 --
       
  • Debt Securities Issuers
E-Form Template code  e-Form Templates Last Update Date (dd/mm/yyyy) Form Filling Guide
  Forms relating to Debt Securities and MTN Programme  
 DS001 New Listing Particulars - Debt Securities 27/02/2021 Guideline

 

4. ESS User Guides / Manuals / FAQs

  • Quick Reference Guides

Quick Reference Guide for Listing Related Matters

  • User Manuals

User Manual for Listing Related Matters

User Manual for Authorised Person, Administrator, Security Officer and DI users

  • Frequently Asked Questions

Frequently Asked Questions for Listing Related Matters e-Forms

 

5. ESS Hotline

    If you have any enquiries on the e-Form submission, please call our ESS Hotline at +852 2840 3460.


Updated 27 Feb 2021