Entire Section
Definitions and Interpretation
6A.01
In this Chapter:
(1) "Compliance Adviser" means any corporation or authorised financial institution licensed or registered under the Securities and Futures Ordinance for Type 6 regulated activity and permitted under its licence or certificate of registration to undertake work as a Sponsor and, as applicable, which is appointed under rule 6A.19 or rule 6A.20 to undertake work as a Compliance Adviser;(2) "expert" includes every accountant, engineer, or appraiser, or any person whose profession gives authority to a statement made by him;(3) "expert section" means, in relation to the listing document, any part of the listing document purporting to be made on the authority of an expert or purporting to be a copy of or extract from a report, opinion, statement or valuation of an expert where the expert gives consent for the inclusion in the listing document of the copy or extract and the listing document includes a statement that he has given and has not withdrawn such consent;
Note: Retaining an expert to advise or assist a new applicant or Sponsor on any non-expert section of the listing document does of itself not make such section an expert section.(4) "Fixed Period" means the period for which a listed issuer must retain a Compliance Adviser under rule 6A.19;(5) "initial application for listing", "initial listing" and "initial public offering" include deemed new listings of equity securities under rule 19.54;(6) "listed issuer" for the purposes of this Chapter, has the same meaning as in rule 1.01 but excludes an issuer of debt securities only;(7) "new applicant" for the purposes of this Chapter, has the same meaning as in rule 1.01, modified for the purpose of this Chapter 6A to:(a) include issuers who undergo a deemed listing of equity securities under rule 19.54; and(b) exclude applicants seeking listing of debt securities only;(8) "non-expert sections" means, in relation to the listing document, any part of the listing document that is not part of any expert section;(9) "Sponsor group" means:(a) a Sponsor;(b) its holding company;(c) any subsidiary of its holding company;(d) any controlling shareholder of:(i) the Sponsor; or(ii) its holding company; and(e) any close associate of any controlling shareholder referred to in paragraph (d) above; and(10) "ultimate holding company" means a holding company that itself does not have a holding company.