Listing Rules and Guidance: Contents


 
 

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13.60
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(1)
(a) Standard securities registration service: An issuer shall (or shall procure that its registrar shall) issue definitive certificates arising out of a registration of transfer or the cancelling, splitting, consolidating or issuing (otherwise than pursuant to rule 13.60(5)) of certificates within:—
(i) 10 business days of the date of expiration of any right of renunciation; or
(ii) 10 business days of the receipt of properly executed transfer or other relevant documents or the relevant certificates.
(b) The fee for registration pursuant to the standard securities registration service shall not exceed, in total, the higher of the following:—
(i) HK$2.50 multiplied by the number of certificates issued; or
(ii) HK$2.50 multiplied by the number of certificates cancelled.
(2)
(a) Optional securities registration service: The issuer (or its registrar) may, but shall not be obliged to, provide an optional securities registration service under which definitive certificates are required to be issued within:—
(i) 6 business days of the date of expiration of any right of renunciation; or
(ii) 6 business days of the receipt of properly executed transfer or other relevant documents or the relevant certificates.
(b) The fee for registration pursuant to the optional securities registration service shall not exceed, in total, the higher of the following:—
(i) HK$3.00 multiplied by the number of certificates issued; or
(ii) HK$3.00 multiplied by the number of certificates cancelled.
(c) If the issuer (or its registrar) fails to effect any registration within the period of 6 business days specified in rule 13.60(2)(a), the fee for such registration shall be that determined in accordance with rule 13.60(1)(b).
(3)
(a) Expedited securities registration service: The issuer (or its registrar) may, but shall not be obliged to, provide an expedited securities registration service under which definitive certificates are required to be issued within:—
(i) 3 business days of the date of expiration of any right of renunciation; or
(ii) 3 business days of the receipt of properly executed transfer or other relevant documents or the relevant certificates.
(b) The fee for registration pursuant to the expedited securities registration service shall not exceed, in total, the higher of the following:
(i) HK$20.00 multiplied by the number of certificates issued; or
(ii) HK$20.00 multiplied by the number of certificates cancelled.
(c) If the issuer (or its registrar) fails to effect any registration within the period of 3 business days specified in rule 13.60(3)(a), the registration shall be performed free of charge.
(4)
(a) Bulk securities registration service: The issuer shall (or shall procure that its registrar shall) provide a bulk securities registration service, for transfers of listed securities representing 2,000 or more board lots of the issuer's listed securities where the securities are being transferred from the name of a single holder into the name of another or the same single holder. Certificates shall be issued pursuant to the bulk securities registration service within 6 business days of the receipt of properly executed transfers or other relevant documents or the relevant certificates.
(b) The fee for registration pursuant to the bulk securities registration service shall not exceed, in total, the higher of the following:—
(i) HK$2.00 multiplied by the number of certificates issued; or
(ii) HK$2.00 multiplied by the number of certificates cancelled.
(5) Certificate replacement service: The issuer shall (or shall procure that its registrar shall) provide a certificate replacement service. The fee for replacing certificates:—
(a) representing securities with a market value of HK$200,000 or less (at the time the request for replacement is made) for a person named on the register shall not exceed HK$200.00, plus the costs incurred by the issuer (or its registrar) in publishing the required public notice; or
(b) either:
(i) representing securities with a market value of more than HK$200,000 (at the time the request for replacement is made); or
(ii) for a person not named on the register (irrespective of the market value of the securities concerned);
shall not exceed HK$400.00, plus the costs incurred by the issuer (or its registrar) in publishing the required public notice.
(6) For the purposes of this rule 13.60 only:—
(a) the expression "business day" shall exclude Saturdays, Sundays and public holidays in Hong Kong; and
(b) in computing any period of business days, such period shall be inclusive of the business day on which the relevant transfers, certificates or other documents were received (or, if such documents were not received on a business day, the business day next following their receipt) and of the business day on which the relevant certificates were delivered or otherwise made available.

Note: In the case of a PRC issuer, the requirements of rule 13.60 shall apply only to registration of its securities listed on the Exchange.
(7) References in rules 13.59 and 13.60 to the issuer's registrar providing a service, or to the issuer procuring that its registrar shall provide a service, shall not relieve the issuer of any obligations in respect of any acts or omissions of its registrar.