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14.09

In the case of an issuer some part of whose share capital is already listed on GEM, the listing document is required to include the following:—

(1) the statements required pursuant to rule 14.04 (disclaimer) and rule 14.05 (GEM characteristics);
(2) subject to rule 14.11(1) to (5), all of the specific items of information which are set out in Part B of Appendix 1;
(3) in circumstances where the listing document is to be issued in conjunction with the raising of new capital by the issuer, appropriate risk factors, taking into consideration the matters set out in rule 14.22;
(4) if applicable, the information required by virtue of rule 14.10; and
(5) subject to rule 14.13 and to the extent not included by virtue of the above, such particulars and information which, according to the particular nature of the issuer and the securities for which listing is sought, is necessary to enable an investor to make an informed assessment of:—
(a) the activities, profits and losses, assets and liabilities, financial position, management and prospects of the issuer; and
(b) the rights and trading arrangements attaching to such securities.