Listing Rules and Guidance: Contents


 
 

The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. Hyperlinked cross references are now available in the HTML versions.

In the case of discrepancies between HTML and PDF versions of the HKEX Rules, Interpretation and Guidance, the PDF version prevails.

Appendix 21 Independent Financial Adviser's Independence Declaration
View Current PDF

To: The Listing Division
The Stock Exchange of Hong Kong Limited

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

We, ................................................................ , are the independent financial adviser (the "Firm") appointed by .......................................................... (the "Company") under rule 13.39(6)(b) / rule 19.05(6)(a)(iii) [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 13.85(1) we declare to The Stock Exchange of Hong Kong Limited that, pursuant to rule 13.84, the Firm is independent.

Signature: ............................................................

Name: ............................................................

For and on behalf of: ............................................................ [insert name of Firm]

Dated: ............................................................

Notes:

1. Independent financial advisers are reminded that rule 13.86 requires, amongst other things, that where an independent financial adviser becomes aware of a change to the information set out in this declaration, it must notify the Exchange as soon as possible upon that change occurring.
2. Each and every director of the Firm, and any officer or representative of the Firm supplying information sought in this form, should note that this form constitutes a record or document which is to be provided to the Exchange in connection with the performance of its functions under "relevant provisions" (as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance, Cap 571) and is likely to be relied upon by the Exchange. In relation to this, you should be aware that giving to the Exchange any record or document, which is false or misleading in a material particular, will render relevant persons liable for prosecution for an offence under subsection 384(3) of the Securities and Futures Ordinance. If you have any queries you should consult the Exchange or your professional adviser immediately.