Listing Rules and Guidance: Contents


 
 

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Up to Feb 14 2018Feb 15 2018 onwards

10.08
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No further shares or securities convertible into equity securities of a listed issuer (whether or not of a class already listed) may be issued or form the subject of any agreement to such an issue within 6 months from the date on which securities of the listed issuer first commence dealing on the Exchange (whether or not such issue of shares or securities will be completed within 6 months from the commencement of dealing), except for:

(1) the issue of shares, the listing of which has been approved by the Exchange, pursuant to a share option scheme under Chapter 17;
(2) the exercise of conversion rights attaching to warrants issued as part of the initial public offering;
(3) any capitalisation issue, capital reduction or consolidation or sub-division of shares;
(4) the issue of shares or securities pursuant to an agreement entered into before the commencement of dealing, the material terms of which have been disclosed in the listing document issued in connection with the initial public offering; and
(5) the issue of shares or securities to be traded on the Main Board by a listed issuer that has successfully transferred its listing from GEM to the Main Board pursuant to Chapter 9A, provided that any plan to raise funds within six months from the date of the transfer of the issuer's listing to the Main Board has been prominently disclosed in the listing document.