Listing Rules and Guidance: Contents


 
 

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12.22
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The following documents, as applicable, must be lodged with the Exchange for review together with the application for listing form in respect of a new applicant:—

(1) such number of copies of an Application Proof as required by the Exchange and 2 CD-ROMs containing the Application Proof and other documents as the Exchange may require;
(2) a confirmation from the new applicant's legal advisers that the new applicant's articles of association conform with the relevant parts of Appendices 3 and 11, and on the whole, are not inconsistent with the GEM Listing Rules and the laws of the place where the new applicant is incorporated or otherwise established;
(3) where the Application Proof contains an accountants' report, an advanced draft of any statement of adjustments relating to the accountants' report;
(4) [Repealed 1 October 2013]
(5) a final proof of the formal notice, where applicable;
(6) a final proof of any application form (including any excess or preferential application form) to subscribe or purchase the securities for which listing is sought;
(7-12) [Repealed 1 October 2013]
(13) where the Application Proof is required to contain a statement by the directors as to the sufficiency of working capital, an advanced draft of a letter from its Sponsor, confirming that it is satisfied that the sufficiency of working capital statement in the Application Proof has been made by the directors after due and careful enquiry;
(14a) where the Application Proof contains a profit forecast (see rules 14.28 to 14.31), a final or an advanced draft of the board's profit forecast memorandum covering the same period of the profit forecast contained in the Application Proof and cash flow forecast memorandum covering at least 12 months from the expected date of publication of the listing document with principal assumptions, accounting policies and calculations for the forecasts;
(14b) where the Application Proof does not contain a profit forecast, a final or an advanced draft of the board's profit forecast memorandum covering the period up to the forthcoming financial year end date after the date of listing and cash flow forecast memorandum covering at least 12 months from the expected date of publication of the listing document with principal assumptions, accounting policies and calculations for the forecasts; and
(15) a final or an advanced draft of any application for a waiver of any provision of the GEM Listing Rules and the provisions of the Companies (Winding Up and Miscellaneous Provisions) Ordinance from the Sponsor and the directors/proposed directors.

Note: Unless previously provided, all executed requests for waivers must be submitted at least four clear business days before the expected hearing date.