Listing Rules GEM Listing Rules
GEM Listing Rules
Updated in August 2002

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Rules Governing the Listing of Securities on the Growth Enterprise Market of
Hong Kong Exchanges and Clearing Limited

General Equity Securities Debt Securities Practice Note Appendices

General

Chapter 1 Interpretation
Chapter 2 Introduction
Chapter 3 Composition, Powers, Functions and Procedures of the GEM Listing Committee, the Listing Appeals Committee and the GEM Listing Division
Chapter 4 Review Procedure
Chapter 5 Directors, Secretary and Corporate Governance Matters
Chapter 6 Sponsors
Chapter 7 Accountants' Reports
Chapter 8 Valuation of and Information on Properties
Chapter 9 Suspension and Resumption of Dealings, Cancellation and Withdrawal of Listing

Equity Securities

Chapter 10 Methods of Listing
Chapter 11 Qualifications for Listing
Chapter 12 Application Procedures and Requirements
Chapter 13 Restrictions on Purchase, Disposal and Subscription
Chapter 14 Listing Documents
Chapter 15 Prospectuses
Chapter 16 Publication Requirements
Chapter 17 Continuing Obligations
Chapter 18 Financial Information
Chapter 19 Transactions
Chapter 20 Connected Transactions
Chapter 21 Options, Warrants and Similar Rights
Chapter 22 Convertible Equity Securities
Chapter 23 Share Option Schemes
Chapter 24 Overseas Issuers
Chapter 25 Issuers Incorporated in the People's Republic of China

Debt Securities

Chapter 26 Methods of Listing (Other than selectively marketed securities)
Chapter 27 Qualifications for Listing (Other than selectively marketed securities)
Chapter 28 Application Procedures and Requirements (Other than selectively marketed securities)
Chapter 29 Listing Documents (Other than selectively marketed securities)
Chapter 30 Selectively Marketed Securities
Chapter 31 Continuing Obligations
Chapter 32 Overseas Issuers
Chapter 33 Options, Warrants and Similar Rights
Chapter 34 Convertible Debt Securities
Chapter 35 Tap Issues, Debt Issuance Programmes and Asset-Backed Securities
Chapter 36 Listing of HKEC

Practice Note

PN1 [Repealed on 20th June 2001]

Appendices

1 Contents of Listing Documents
A - Equity securities
(of an issuer no part of whose share capital is already listed)
B - Equity securities
(of an issuer some part of whose share capital is already listed)
C - Debt securities
2 Documents of Title
A - Temporary
B - Definitive
3 Articles of Association
4 Trust Deeds or Other Documents Securing or Constituting Debt Securities
5 Forms Relating to Listing
A - Application for Listing - Equity securities
(of an issuer no part of whose share capital is already listed)
B - Application for Listing - Equity securities
(of an issuer some part of whose share capital is already listed)
C - Application for Listing - Debt securities
D - Marketing statement (concerning a placing of equity securities)
E - Issuer's declaration of compliance
F - Company information sheet
G - Restrictions on disposals of shares by an initial management shareholder
H - Restrictions on disposals of shares by a significant shareholder
6 Director's and Supervisor's Forms
A - Director's declaration, undertaking and acknowledgement
B - Director's declaration, undertaking and acknowledgement (PRC issuer)
C - Supervisor's declaration, undertaking and acknowledgement (PRC issuer)
7 Sponsor's Forms
A - Application form
B - Declaration by principal supervisor
C - Declaration by assistant supervisor
D - Review form for continuing eligibility
E - Review form for principal supervisor
F - Review form for assistant supervisor
G - Sponsor's declaration in support of a new applicant
H - Sponsor's declaration of interests
I - Sponsor's declaration of compliance concerning a new applicant
J - Declaration in relation to certain listing documents issued by an issuer
8 Form of Share Buy Back Report
9 Listing Fees, Transaction Levies and Trading Fees on New Issues and Brokerage
10 Model Forms of Formal Notice
A - Offers for sale or subscription
B - Introduction
C - Placing
D - Selective Marketing
11 Additional Requirements in Respect of Certain Jurisdictions
A - Bermuda
B - The Cayman Islands
C - The PRC
12 Securities (Stock Exchange Listing) Rules