Listing Rules and Guidance: Contents


 
 

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3A.01
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In this Chapter:

(1) "Compliance Adviser" means any corporation or authorised financial institution licensed or registered under the Securities and Futures Ordinance for Type 6 regulated activity and permitted under its licence or certificate of registration to undertake work as a sponsor and, as applicable, which is appointed under rule 3A.19 or rule 3A.20 to undertake work as a Compliance Adviser;
(2) "expert" includes every accountant, engineer, or appraiser, or any person whose profession gives authority to a statement made by him;
(3) "expert section" means, in relation to the listing document, any part of the listing document purporting to be made on the authority of an expert or purporting to be a copy of or extract from a report, opinion, statement or valuation of an expert where the expert gives consent for the inclusion in the listing document of the copy or extract and the listing document includes a statement that he has given and has not withdrawn such consent;

Note: Retaining an expert to advise or assist a new applicant or sponsor on any non-expert section of the listing document does of itself not make such section an expert section.
(4) "Fixed Period" means the period for which a listed issuer must retain a Compliance Adviser under rule 3A.19;
(5) "initial application for listing", "initial listing" and "initial public offering" include deemed new listings of equity securities under rule 14.54;
(6) "listed issuer" for the purposes of this Chapter, has the same meaning as in rule 1.01 but excludes an issuer of debt securities only;
(7) "new applicant" for the purposes of this Chapter, has the same meaning as in rule 1.01, modified for the purpose of this Chapter 3A to:
(a) include issuers who undergo a deemed listing of equity securities under rule 14.54; and
(b) exclude applicants seeking listing of debt securities only;
(8) "non-expert sections" means, in relation to the listing document, any part of the listing document that is not part of any expert section;
(9) "sponsor group" means:
(a) a sponsor;
(b) its holding company;
(c) any subsidiary of its holding company;
(d) any controlling shareholder of:
(i) the sponsor; or
(ii) its holding company; and
(e) any close associate of any controlling shareholder referred to in paragraph (d) above; and
(10) "ultimate holding company" means a holding company that itself does not have a holding company.