Entire Section

  • Review cases of a compliance officer or an authorised representative to be considered by the GEM Listing Committee and the GEM Listing Review Committee

    • 4.06A

      (1) Where the Listing Division decides that a person’s appointment as an issuer’s compliance officer appointed under rule 5.19 or authorised representative under rule 5.24 should be terminated, that compliance officer or authorised representative, as the case may be, shall have the right to have that decision referred to the GEM Listing Committee for review.
      (2) Where the GEM Listing Committee endorses, modifies or varies the Listing Division’s decision, that compliance officer or authorised representative, as the case may be, shall have the right to have that decision reviewed by the GEM Listing Review Committee, whose decision shall be conclusive and binding on both the listed issuer and that compliance officer or authorised representative, as the case may be.

    • 4.07 [Repealed]

      [Repealed 6 July 2019]