Checklist of IPO

**Document Template Code** **Document Template Name** Main Board M100 Main Board : Composite Package of Checklists and Forms for New Listing Applications (This document contains all the Main Board checklists and forms cited below) M101 Main Board : Table of Contents of Checklists and Forms for New Listing Applications M102 Main Board : Table of Contents of Checklists and Forms for New Listing Applications (EXCEL) Checklists and Forms for New Listing Applications under Chapters 8 and 21 To be submitted together with Form A1 M103 Main Board : IPO - Form A1 - Listing Application Form (For Equity Securities & Debt Securities) M104 Main Board : IPO - Additional information to be submitted together with the Form A1 M105 Main Board : IPO - Basic qualifications for new listing M106 Main Board : IPO - Basic requirements for contents of Prospectus M107 Main Board : IPO - Property valuation M108 Main Board : IPO - Accountants' report M109 Main Board : IPO - Sponsor's Undertaking and Statement of Independence (Appendix 17) M110 Main Board : IPO - Confirmation and undertaking with regard to Biographical Information of Directors and Supervisors and Information in the Application Proof M111 Main Board : IPO - Market comparable analysis M112 Main Board : IPO - Summary of non-exempted continuing connected transactions M113 Main Board : IPO - Summary of key financial ratios during the track record period with explanation for fluctuation M114 Main Board : IPO - Compliance Adviser's undertaking (Appendix 20) FF001M Main Board : IPO - Authorised representatives / Company Secretary form M115 Main Board : IPO - Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) or Statement made under Main Board Rule 9.08(2)(c) To be submitted after A1 submission (if applicable) M115 Main Board : IPO - Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) or Statement made under Main Board Rule 9.08(2)(c) To be submitted at least 4 clear business days before the expected hearing date M201 Main Board : IPO - New listing particulars To be submitted on or before bulk printing of the listing document M115 Main Board : IPO - Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) or Statement made under Main Board Rule 9.08(2)(c) To be submitted on or before the issue of the listing document M301 Main Board : IPO - IPO Prospectus -Confirmation letter M302 Main Board : IPO - Sponsor's Declaration (Appendix 19) To be submitted after the issue of the listing document but before dealings commence FFD003M Main Board : IPO - Form D – Marketing Statement M401 Main Board : IPO - Form E – Sponsor’s Declaration M402 Main Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage FFD004M Main Board : IPO - Form F – Declaration CI205M Main Board : IPO - Placee information sheet DU003M Main Board : IPO - Form B – Declaration and undertaking with regard to Directors DU004M Main Board : IPO - Form H – Declaration and undertaking with regard to Directors of an issuer incorporated in the PRC DU005M Main Board : IPO - Form I – Declaration and undertaking with regard to Supervisors of an issuer incorporated in the PRC Additional documents to be submitted for Chapter 21 company To be submitted at least 4 clear business days before the expected hearing date M501 Main Board : IPO - Form C3Z - Formal Application (For Open-ended Investment Companies, Unit Trusts, Mutual Funds and Other Collective Investment Schemes Governed by Chapter 21 of the Listing Rules) To be submitted before bulk printing of the listing document M502 Main Board : IPO – Listing Agreement (Chapter 21 Investment Companies) Checklists and Forms for Transfer of Listing from GEM to Main Board under Chapter 9A MT001 Main Board : IPO - Documents to be submitted when making an application for Transfer of Listing from GEM to Main Board MT002 Main Board : IPO - Checklist and declaration – basic qualifications for transfer of equity listing MT003 Main Board : IPO - Form 5J - Formal Application (For Transfer of Listing from GEM to Main Board) MT004 Main Board : IPO - Form 5K - Declaration of Directors and Supervisors with regard to a Transfer of Listing from GEM to Main Board MT005 Main Board : IPO - Basic requirements for contents of announcement of transfer MT006 Main Board : IPO - Basic requirements for contents of circular where the transfer application is made by an infrastructure company, mineral company or investment company MT007 Main Board : IPO - Undertaking to inform the Exchange of a change in the circumstances with regard to qualifications for a transfer of listing from GEM to Main Board MT008 Main Board : IPO - Issuer’s authorisation for filing with the Securities and Futures Commission MT009 Main Board : IPO - New listing particulars MT010 Main Board : IPO - Standard Comments: To be addressed when replying to our first comment letter Checklists and Forms for Collective Investment Schemes under Chapter 20 (Please refer to Attachment 1 of Guidance Letter HKEx-GL79-14) Where Main Board rule 20.25 applies, to be submitted when the new CIS applicant files an authorised application with SFC CIS001 Main Board : Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) To be submitted together with Form 5A2 CIS002 Main Board : Form 5A2 - Listing application Form (For Collective Investment Schemes) CIS003 Main Board : Form 7G - Listing Agreement (For Collective Investment Schemes) CIS001 Where Main Board rule 20.26 applies Main Board : Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) To be submitted after the issue of the listing document but before dealings commence CIS004 Main Board : Issue of Listing Document – Confirmation Letter of SFC’s authorisation 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 CIS006 Main Board : IPO - Form D - Marketing Statement CIS007 Main Board : IPO - Placee information sheet GEM Board G100 GEM Board : Composite Package of Checklists and Forms for New Listing Applications (This document contains all the GEM Board checklists and forms cited below) G101 GEM Board : Table of Contents of Checklist and Forms For New Listing Applications G102 GEM Board : Table of Contents of Checklist and Forms for New Listing Applications (EXCEL) To be submitted together with Form 5A G103 GEM Board : IPO - Form 5A - Application Form (Equity Securities) G104 GEM Board : IPO - Additional Information to be submitted together with the Form 5A G105 GEM Board : IPO - Basic qualifications for new listing G106 GEM Board : IPO - Basic requirements for contents of Prospectus G107 GEM Board : IPO - Property valuation G108 GEM Board : IPO - Accountants' report G109 GEM Board : IPO - Form 7K - Sponsor’s undertaking and statement of independence G110 GEM Board : IPO - Confirmation and undertaking with regard to Biographical Information of Directors and Supervisors and Information in the Application Proof G111 GEM Board : IPO - Market comparable analysis G112 GEM Board : IPO - Summary of non-exempted continuing connected transactions G113 GEM Board : IPO - Summary of key financial ratios during the track record period with explanation for fluctuation FF211G GEM Board : IPO - Form 7H - Compliance Adviser's Declaration of Interests G114 GEM Board : IPO - Form 7M - Compliance Adviser's Undertaking FF001G GEM Board : IPO - Authorised representatives / Compliance Officer / Company Secretary form G115 GEM Board : IPO - Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) or Statement made under GEM Rule 12.10(2)(c) To be submitted after 5A submission (if applicable) G115 GEM Board : IPO - Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) or Statement made under GEM Rule 12.10(2)(c) To be submitted at least 4 clear business days before the expected hearing date G201 GEM Board : IPO - New listing particulars To be submitted before bulk printing of the listing document G115 GEM Board : IPO - Confirmation with regard to posting of Application Proof or Post Hearing Information Pack (PHIP) or Statement made under GEM Rule 12.10(2)(c) To be submitted on or before the issue of the listing document G301 GEM Board : IPO - IPO Prospectus - Confirmation letter G302 GEM Board : IPO - Form 7G - Sponsor's declaration in support of a new applicant To be submitted after the issue of the listing document but before dealings commence FF017G GEM Board : IPO - Form 5D - Marketing statement FF018G GEM Board : IPO - Form 5E - Declaration of compliance G401 GEM Board : IPO - Form 7I - Sponsor's declaration of compliance concerning a new applicant G402 GEM Board : IPO - Notification of Submission of Transaction Levy, Trading Fee and Brokerage CI205G GEM Board : IPO - Placee Information Sheet DU003G GEM Board : IPO - Form 6A - Director's Declaration, Undertaking and Acknowledgement DU004G GEM Board : IPO - Form 6B - Director's Declaration, Undertaking and Acknowledgement (PRC Issuer) DU005G GEM Board : IPO - Form 6C - Supervisor's Declaration, Undertaking and Acknowledgement (PRC Issuer) FF003G GEM Board : IPO - Form 5F - Company information sheet