Unclaimed Entitlements Held by HKSCC Nominees Limited, Modernising Hong Kong’s IPO Settlement Process, Environmental, Social and Governance (ESG), Application Proof, PHIP and Related Materials, Listing Matters regarding Sponsor Regulation, Issuers' Continuing Obligations & Annual Listing Fees, Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters, Summary of Listing Requirements for Debt Issues to Professional Investors Only, Frequently Asked Questions for Debt Issues to Professional Investors Only, Search our directory to find brokers, clearing members, information vendors and more, HKEX launched 39 MSCI equity index futures and options contracts, Collaborating on sustainable finance amongst our stakeholders, View important information issued by HKEX to Exchange and Clearing House Participants, Market Data vendors and Hosting Services members, Connect to Hong Kong’s financial market through HKEX, How the New Economy is reshaping the Hong Kong market, Covid-19 fuels the rise of healthcare tech, Latest regulatory information issued by Listing, Bi-annual newsletters updating you on listing topics that we think will be of greatest interest to you, Snapshot about HKEX latest news and information, Download or subscribe to our calendar containing trading and clearing information, public holidays and more, Research and survey conducted by HKEX on its securities and derivatives markets and related topics, Statistics on Shanghai and Shenzhen Connect updated daily, View the market capitalization, number of listed companies and more in the Hong Kong, Shanghai and Shenzhen markets, A list of securities eligible for trading under Shanghai and Shenzhen Stock Connect, View listed company announcements and more on the centralised platform for regulatory filings and disclosures, Sign up to receive company announcements or website updates by email, Vendors can sign up to purchase wholesale market data from HKEX’s Market Data Services department. 1. highlight Listing Rule disclosure and specific compliance requirements on (i) the content of listed issuers’ documents (e.g. Futures & Options, HKEX Sustainable & Green 014-2017 for further information. the issuer must announce information necessary to avoid a false market in its listed securities. Settlement and Depository, Appendix 4 Trust Deeds or Other Documents Securing or Constituting Debt Securities, Form A Application Form — Equity securities (of an issuer no part of whose share capital is already listed), Form B Application Form — Equity Securities (of an issuer part of whose share capital is already listed), Form C Application Form — Debt securities, Form D Marketing statement (concerning a placing of equity securities), Appendix 6 Director's and Supervisor's Forms, Appendix 9 Listing Fees, Transaction Levies and Trading Fees on New Issues and Brokerage, Appendix 11 Additional Requirements in Respect of Certain Jurisdictions, Appendix 12 Securities and Futures (Stock Market Listing) Rules, Appendix 13 Independent Financial Adviser's Declaration, Appendix 14 Independent Financial Adviser's Undertaking, Appendix 15 Corporate Governance Code and Corporate Governance Report, Appendix 16 Corporate Governance Report [Merged with Appendix 15], Appendix 18 Content of a Comptent Person's Report for Petroleum Reserves and Resources, Appendix 19 Summary Form of Disclosure for Property Interests, Appendix 20 Environmental, Social and Governance Reporting Guide, Appendix 21 Financial Adviser’s Declaration (For Extreme Transaction), Appendix 22 Financial Adviser’s Undertaking (For Extreme Transaction). Contracts, Clearing, Materials, News provide templates and forms specified under the Listing Rules. If accepted, the proposal would make Bob … HKEx censured Zhongtian and its former and current directors for breach of the Listing Rules 11. Form 3D - Director/Chief Executive Notice - Interests in Debentures of Associated Corporation: 10/03/2018: 1.1.1: Directions and instructions for completion of Form 3D : Form 4 - Listed Corporation Notice - Findings of Investigation Report: 29/02/2020: The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. It need not submit the announcement checklist unless requested by the Exchange (see also note 5). Connect, Callable Bull / Bear Form 2 is for use by a corporation disclosing a notifiable interest in a Hong Kong listed corporation under Part XV of the Securities and Futures Ordinance (Cap.571)(“the Ordinance”). ... ‹ Appendix 5B, 5H and 5I: Please refer to Part A of the list below. Companies, Listing of Biotech through HKEX, Learn how your company can bang the gong to markets, Latest regulatory information issued by HKEX has earlier today published a circular informing China Connect Exchange Participants (CCEPs) of its plans to introduce a new trading platform.. 10. 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. 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). 1 LR reference: Main Board Rules 13.09(1), 13.10, 37.47(b); Paragraph 3 of Practice Note 11; Paragraph 2(1)(b) of Appendices 7C, 7D, 7E and 7H; Paragraph 24 of Appendix 7C; Paragraph 26 of Appendix 7H / GEM Rules 17.10(1), 17.11, 30.40(b), 31.04(2) and 31.05 listed companies and more in the Hong Kong, Shanghai and Shenzhen markets, A list of securities eligible for trading under Shanghai and Shenzhen Stock To download a checklist or form or template, please click on the relevant link below. The new platform for Northbound Trading under Stock Connect, which is set to replace the current China Stock Connect System (CSC), is poised to be released in the middle of 2019. The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. Calendar, Bond announcements, circulars) and (ii) particular transactions which are the subject of those documents. Hyperlinked cross references are now available in the HTML versions. of Listing Requirements for Debt Issues to Professional Investors Only, Frequently into CCASS, Unclaimed Appendix 5B, 5H or 5I Form (DU Form Listing Rules) hkex guidance letter 2017 Solicitor’s certification listing guidelines hkex-gl56-13 debt issuers listing rules disclosure hong kong gem board listed company hong kong stock exchange listed companies hkex listing Continuing Obligations & Annual Listing Fees, Guides Products, New MSCI Index Report, Interpretation and Connect, View listed company announcements and more on the centralised platform for Application Form - Equity Securities (of an issuer part of whose share capital is already listed) (Form B in Appendix 5) Note 7: FF211G. HKEx Listing Rule Amendments Take Effect on 1 March 2019 Amendments to the Listing Rules of the Stock Exchange of Hong Kong Limited (HKEx) took effect on 1 March 2019 changing the documentary requirements for listing applicants and listed companies and making other minor housekeeping amendments.HKEx published its Consultation Conclusions on Proposed Changes to Documentary … 571) (SFO) substantial shareholders are required to disclose interests in shares of listed corporations. 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). HKEx has also decided to retain the required sponsor’s certification in Part 3 of the Director’s Undertaking Form that it is not aware of any information that would cause enquiries as to the truthfulness, completeness or accuracy of the director’s personal information submitted in the form and disclosed in the IPO listing document. Governance (ESG), Listing of Overseas The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. clearing members, information vendors and more, HKEX to launch 37 MSCI equity index futures The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. Participants, Market Data vendors and Hosting Services members, Connect to Hong Kong’s financial market Asked Questions for Debt Issues to Professional Investors Only, Enforcement Guidance At US$5 billion, Kuaishou’s IPO will be the city’s biggest float since Anheuser-Busch InBev SA’s Asian unit raised US$5.8 billion in 2019, excluding the secondary listing of Alibaba Group Holding Ltd in the same year, data compiled by Bloomberg show. ©2017-21 Hong Kong Exchanges and Clearing Limited. Hyperlinked cross references are now available in the HTML versions. PHIP and Related Materials, Listing Form C1 Case Number: If the application is required to be supported by a listing document, this form must be duly completed and lodged at least TEN CLEAR BUSINESS DAYS before the date on which the listed issuer proposes to bulk print the listing document. Hyperlinked cross references are now available in the HTML versions. Compliance Adviser’s Declaration of Interests (Form H in Appendix 7) FF018G. If necessary, identify, refer to and explain the documents. breaching his obligation under his Form 5B undertaking to HKEx to provide complete, accurate and up-to-date information to HKEx; and breaching his … The statement may form the evidence in chief of that witness unless otherwise directed by the trial judge. regulatory filings and disclosures, Sign up to receive company announcements or Hyperlinked cross references are now available in the HTML versions. Kong’s IPO Settlement Process, HKEX in Biotech (Issue (HKEx, 1 February 2021) Hong Kong Corporate and Regulatory Insights – February 2021 Insurance Authority extends the validity of temporary facilitative measures … Listing, Bi-annual newsletters updating you on listing Subscription for Market Data for Display on Listed Company Website, This website uses cookies. Centre, HKEX and options contracts, Collaborating on sustainable finance amongst In such cases, the Exchange may request submission of the checklist(s). Trusts, Eligible OTC Clear Under Section 16 of the securities laws and SEC rules, senior executives, directors, and large-block shareholders are required to make ongoing filings about their company stock holdings to report any changes.These filings are made on Form 3, Form 4, and Form 5. breaching his obligation under his Form 5B undertaking to HKEx to provide complete, accurate and up-to-date information to HKEx; and breaching his … FAQ Series N/A, FAQ No. ©2017-20 Hong Kong Exchanges and Clearing Limited. All rights reserved. Please refer to our, List of Approved Mainland Accounting Firms, Market consultations and News releases on ESG, Reports on Environmental, Social and Governance Practice Disclosure, Guidance letter on suitability for Listing of Biotech Companies (GL92-18), Guidance letter on disclosure in listing documents for Biotech Companies (GL107-20), ESS Registration (For Listed Issuers and Professional Agents only), ESS User Manuals & Quick Reference Guides, Listed Company Information Dissemination Interruption Arrangements, Archive - Other Guidance Materials for Listed Issuers, Archive - Consultation and Communication on Electronic Disclosure. Document Simplification Guide, Issuers' set out documentary requirements in respect of transactions and corporate actions taken by listed issuers. You can find the number of shares issued on the HKEX website by clicking the link to the HKEX website on the Form or you can ask t h e co r p o rati o n. Boxes 7 to 13. Issuers' Information, Frequently Asked (iv) comply to the best of my ability, and use my best endeavours to procure the issuer to comply, with the Companies Ordinance, the Companies (Winding Up and Miscellaneous Provisions) Ordinance, the Securities and Futures Ordinance, the Code on Takeovers and Mergers, the Code on Share Buy-backs and all other securities laws and regulations from time to time in force in Hong Kong; Chinese short-video platform Kuaishou Technology intends to offer 365.2 million shares for its Hong Kong Public Offering and raise up to $5.42 billion, according to a … New listing information, including new listing announcements, prospectuses, allotment results and new listing report for both Main Board and GEM. Questions, Summary highlight Listing Rule disclosure and specific compliance requirements on (i) the content of listed issuers’ documents (e.g. Please refer to Part A of the list below. Basic Qualifications for Listing of a New Class of Equity Securities, Issue of Securities for Cash - Announcement, Notifiable Transaction and Connected Transaction Announcement, Size Tests for Notifiable Transactions and Connected Transactions, References to Major Listing Rules Requirements related to Issuance of Securities. View important information issued by HKEX to Exchange and Clearing House Participants, Market Data vendors and Hosting Services members. These checklists and forms are provided to assist compliance with the Listing Rules and administrative procedures. Companies, Application Proof, If possible, state clearly the date, place and person involved in each event, with details of the agreement or acts done. 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). website updates by email, Vendors can sign up to purchase wholesale Hyperlinked cross references are now available in the HTML versions. containing trading and clearing information, public holidays and more, Research and survey conducted by HKEX on its securities and derivatives STX Entertainment, as has long been suggested would be the case, has filed for an IPO on the Hong Kong stock exchange. 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). Exchange, Securities Admission All rights reserved. Practices, Environmental, Social and Hong Kong Exchanges and Clearing (0388) yesterday said its net profit soared 23 percent to a record HK$11.51 billion, beating expectations, largely … Please refer to Part B of the list below. State y o u r p e r sonal d etails as indicate d. S tate y o u r na m e in f u ll as it a p pears o n y o ur H o n g Kong identity ca 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). HKEX Consults on Corporate Governance Code Review, Calls for Board Gender Diversity 2021/04/16 17:27 Recommend 0 Positive 4 Negative 2 HKEX (00388.HK) seeks comments on proposals to enhance Corporate Governance Code. A centrally-located venue at the heart of Hong Kong financial hub, the HKEX Connect Hall is an iconic venue for Hong Kong’s financial community. Declaration of Compliance (Form E of Appendix 5) FF017G. on the Exchange's Practices and Procedures for Handling Listing-related announcements, circulars) and (ii) particular transactions which are the subject of those documents. Guidance, Corporate Governance Please refer to Parts C and D of the list below. The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. The Exchange may request information and/or documents to demonstrate compliance with the Listing Rules in individual cases. markets and related topics, Statistics on Shanghai and Shenzhen Connect updated daily, View the market capitalization, number of Form I – Declaration and undertaking with regard to Supervisors of an issuer incorporated in the PRC (e-Form) For an Eligible Issuer (defined in Main Board Rule 9A.01A) with change in principal businesses and/ or controlling shareholders since listing on GEM or is an infrastructure company or a mineral company (Category A Eligible Issuer) Note: A GEM transfer application submitted by an Eligible Issuer (as defined in Main Board Rule 9A.01A) that has not changed its principal business and controlling shareholder since listing on GEM, and is not an infrastructure or a mineral company.See FAQ No. Become a Participant. No.4), Listing Policy Panel market data from HKEX’s Market Data Services department, Real Estate Investment Matters, Products and Matters regarding Sponsor Regulation, Listing HKEX Connect Hall. officially open trading on HKEX’s markets, Fueling the growth of Hong Kong's capital Unclaimed Entitlements Held by HKSCC Nominees Limited, Modernising Hong Kong’s IPO Settlement Process, Environmental, Social and Governance (ESG), Application Proof, PHIP and Related Materials, Listing Matters regarding Sponsor Regulation, Issuers' Continuing Obligations & Annual Listing Fees, Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters, Summary of Listing Requirements for Debt Issues to Professional Investors Only, Frequently Asked Questions for Debt Issues to Professional Investors Only, Search our directory to find brokers, listed company information listed company information ccass shareholding FAQ Series 22, FAQ No. A listed issuer must submit the completed form using the e-Submission System (ESS) (, Next Day Disclosure Return for Equity Issuers, Next Day Disclosure Return for Collective Investment Schemes listed under Chapter 20 other than listed open-ended Collective Investment Schemes, Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer (GEM only). Connect to Hong Kong’s financial market through HKEX. our stakeholders, View important information issued by HKEX to Exchange and Clearing House Your company must post these forms on its website within one day after they are filed with the SEC. Entitlements Held by HKSCC Nominees Limited, Modernising Hong Major Acquisition / Very Substantial Acquisition / Extreme Transaction – Circular; Major Realisation and Very Substantial Disposal - Circular, Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities – Listing Document, Issue of Securities (other than Capitalisation Issue/ Bonus Issue of Warrants/ Exchange or Substitution of Securities/ Rights Issue/ Open Offer) - Listing Document, Issue of Warrants, Options or Similar Rights under Chapter 15 - Circular, Rights Issue/ Open Offer - Listing Document, Supplemental Information for Investment Company - Listing Document, Supplemental Information for PRC Issuer - Listing Document, Explanatory Statements Relating to Share Repurchase by Listed Issuers, Valuation of Properties Being Acquired or Disposed of, Definitive Document of Title of Equity Securities, Adoption of Share Option Scheme/ Refreshment of Share Option Scheme Limit, Capital Reduction/ Share Consolidation/ Share Subdivision, Capitalisation Issue (Bonus Issue/ Scrip Dividend Scheme), Issue of Unlisted Convertible Debt Securities, Issue of Warrants/ Convertible Equity Securities, Amendments to Memorandum or Articles of Association or Equivalent Documents, Change of Company Name/ Addition of Chinese Name, Explanatory Statements relating to Share Repurchases by Listed Issuers, Monthly Return for Collective Investment Schemes listed under Chapter 20  other than listed open-ended Collective Investment Schemes (Paragraph 4B of Appendix 7G), Monthly Return for Open-ended Collective Investment Schemes listed under Chapter 20 (Paragraph 4B of Appendix 7G), Monthly Return for Hong Kong Depositary Receipts listed under Chapter 19B (Listing Rules 13.25B and 13.25C), Declaration and Undertaking with regard to Directors (Form B of Appendix 5), Declaration and Undertaking with regard to Directors of an Issuer incorporated in the PRC (Form H of Appendix 5), Declaration and Undertaking with regard to Supervisors of an Issuer incorporated in the PRC (Form I of Appendix 5), Formal Application (For Equity Securities) (Form C1 in Appendix 5), Formal Application (For Collective Investment Schemes) (Form C3 in Appendix 5), 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), Marketing Statement  (Form D in Appendix 5). In the case of discrepancies between HTML and PDF versions of the HKEX Rules, Interpretation and Guidance, the PDF version prevails. They: The requirements and documents set out in the checklists and forms are not exhaustive. 011-2017 LR reference: Main Board Rules 3A.02, 9A.01A, Appendix 28 paragraph 9 Under Part XV of the Securities and Futures Ordinance (Cap. Checklists and Forms for Main Board issuers. Depending on the circumstances of any particular case, the Exchange may request additional information/documents.

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