GENERAL
- Chapter 1 Interpretation
- Chapter 2 Introduction
-
Chapter 3 Composition, Powers, Functions and Procedures of the GEM Listing Committee, the GEM Listing Review Committee and the Listing Division
- General
- Application procedures
- Sponsors
- Guidance
- Cancellation procedures
- Disciplinary jurisdiction and sanctions
- Rights of parties to be heard
- Disciplinary Reviews Initiated by the Commission
- Composition of the GEM Listing Committee
- Appointment and removal of members of the GEM Listing Committee
- Functions and powers of the GEM Listing Committee
- Conduct of meetings of the GEM Listing Committee
- Composition of the GEM Listing Review Committee
- Appointment and Removal of Members of the GEM Listing Review Committee
- Functions and powers of the GEM Listing Review Committee
- Conduct of meetings of the GEM Listing Review Committee
- Bona fide acts of Committee members
- Transitional
-
Chapter 4 Review Procedure
- General
- Definitions and Interpretation
- Review cases of a new applicant to be considered by the GEM Listing Committee and the GEM Listing Review Committee
- Review cases of a listed issuer to be considered by the GEM Listing Committee and the GEM Listing Review Committee
- Review cases of a compliance officer or an authorised representative to be considered by the GEM Listing Committee and the GEM Listing Review Committee
- Time for application
- Notice of review hearing
- Prehearing procedures
- Conduct of review hearing
- Role of the Secretary
- Request for written reasons
- Publication of decisions
- Costs
- Aggrieved party
- Non-disciplinary reviews initiated by the Commission
- Transitional
- Chapter 5 Directors, Company Secretary, Board Committees, Authorised Representatives and Corporate Governance Matters
- Chapter 6 [Repealed]
-
Chapter 6A Sponsors, Compliance Advisers, Overall Coordinators and other Capital Market Intermediaries
- Definitions and Interpretation
- Appointment of a Sponsor
- Sponsor's undertaking and statement of independence to the Exchange
- Obligations of a new applicant and its directors to assist the Sponsor
- Impartiality and independence of Sponsors
- Additional Sponsors
- Sponsor's role
- Sponsor's declaration
- Termination of a Sponsor's role
- Appointment of a Compliance Adviser
- Compliance Adviser's undertaking to the Exchange
- Impartiality of Compliance Advisers
- Termination of a Compliance Adviser's role
- Application of other rules and regulations
- Miscellaneous
- Capital Market Intermediaries
- Appointment of a capital market intermediary
- Appointment of an overall coordinator
- Overall coordinator’s declaration
- Termination of the overall coordinator’s role
- Obligations of a new applicant and its directors to assist the syndicate members
-
Chapter 7 Accountants' Reports and Pro Forma Financial Information
- When required
- Scope
- Reporting accountants
- Basic contents of accountants' report for a listing document
- Additional disclosure of pre-acquisition financial information for a Listing Document
- Basic contents of accountants' report for certain notifiable transaction circulars
- Requirements applicable in all cases
- Individual or combined results
- Disclosure
- Accounting standards
- Auditing standards
- Statement of adjustments
- Reference to other reports
- Modified reports
- Additional matters for disclosure
- General
- Pro Forma Financial Information
-
Chapter 8 Valuation of and Information on Properties
- Definitions
- Requirements for an applicant
- Requirements for an issuer
- Valuation report requirements
- Disclosure of legal opinion to valuer
- Valuations of properties situated outside Hong Kong
- Effective date
- Independence of valuer
- Qualifications of valuer
- Other valuation reports
- Exchange rates
- General disclosure
- Chapter 9 Trading Halt, Suspension and Resumption of Dealings, Cancellation and Withdrawal of Listing