Listing Rules and Guidance: Contents


 
 

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Appendix 20 Compliance Adviser's Undertaking
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To: The Listing Division
The Stock Exchange of Hong Kong Limited

......... / ........ / .......

We, ................................................................ , are the Compliance Adviser appointed by ................................................... (the "Company") for the purpose referred to in rule 3A.19 / rule 3A.20 [cross out whichever is not applicable] of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (the "Listing Rules") and have offices located at ...................................................................................................................................................

Pursuant to rule 3A.21 we undertake with The Stock Exchange of Hong Kong Limited (the "Exchange") that we shall:

(a) comply with the Listing Rules from time to time in force and applicable to Compliance Advisers; and
(b) cooperate in any investigation conducted by the Listing Division and/or the Listing Committee of the Exchange, including answering promptly and openly any questions addressed to us, promptly producing the originals or copies of any relevant documents and attending before any meeting or hearing at which we are requested to appear.
Signature: ............................................................  
Name: ............................................................  
For and on behalf of: ............................................................ [insert the name of Compliance Adviser]
Dated: ............................................................