CF065G
THE STOCK EXCHANGE OF HONG KONG LIMITED
(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)
NEW LISTING APPLICATION (EQUITY) – GEM
III.E e-Submission System (ESS) registration
We would like to introduce you to ESS which is operated by Hong Kong Exchanges and Clearing Limited and invite you to register for ESS. For the dissemination of information to the market, the Listing Rules require issuers, including new listing applicants, to submit documents through ESS for publication on the HKEx website or GEM website.
With a view to facilitating communication between the market and the Listing Division, issuers and market practitioners may use ESS to provide information and documents relating to listing matters, in addition to the various existing methods of communication. In addition, submitting information and documents to the Exchange for the processing of transactions through ESS has the advantage of facilitating expeditious process and tracking throughout the process. This is because each transaction or application will be allocated with an individual case number and receipt of each submission will be confirmed by online communication to relevant parties.
ESS is available not only to issuers, but also to their representatives, including financial advisers, legal advisers, printers and others. However, the security passwords for publication of documents on the HKEx website and GEM website will be issued only to issuers. An issuer must at all times retain control over the passwords even if it chooses to allow its agent to submit documents for publication on its behalf.
Statutory declarations and other documents requiring signature under the Listing Rules still need to be submitted physically, although copies can be sent through ESS.
User Registration
An entity must be registered for ESS before its staff may use the system.
The registration process consists of 2 stages. The first stage is the completion and return by applicants of the registration forms and the letter of acceptance of the ESS Terms and Conditions. The second stage is the activation of the security passwords required for the submission of documents for publication (which are issued to issuers only).
All prospective users of the new ESS (i.e. market practitioners wishing to submit documents for publication on behalf of issuers and all issuers) must complete the following registration procedures.
1. Go to the ESS website at www.esubmission.hkex.com.hk and download the registration tool.
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CF065G
The Stock Exchange of Hong Kong Limited
(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)
2. Complete the following forms using the registration tool:
(a) Registration for E-submission (mandatory);
(b) User Registration Forms for Listing Related Matters (optional); and
(c) User Registration Forms for Publication Related Matters (mandatory).
3. Use the registration tool to generate and save the completed forms onto a diskette or CD.
4. Using the registration tool, print the completed forms and sign.
5. Read the ESS Terms and Conditions applicable to your company, namely the “Terms and Conditions for Listed Issuers and Listing Applicants”, print the letter of acceptance and sign.
The registration forms and letter of acceptance of the terms and conditions must be signed by a director or other person duly authorised by the issuer. Please then submit to:
Hong Kong Exchanges and Clearing Limited
10/F, One International Finance Centre
1 Harbour View Street
Central
Hong Kong
Attn.: Primary Market Information, Listing Operations Department
Listing Division (Re: ESS Registration)
the printed completed forms duly signed (together with a diskette or CD containing the completed forms), the signed letter of acceptance and a copy of the board resolution (or equivalent document):
(1) authorising the application by the issuer for ESS registration and the acceptance by the issuer of the “Terms and Conditions for Listed Issuers and Listing Applicants”; and
(2) authorising the director or other person to apply for ESS registration on behalf of the issuer and to sign the ESS registration application forms and the letter of acceptance of the terms and conditions.
HKEx will take the following steps to complete the registration process:
· check the completeness of the data
· create the company record in the computer system
· create the user login accounts
· generate a set of security passwords for publication purposes (for issuers only)
· mail the details to the company (including, in the case of issuers, the security passwords for publication purposes)
Immediately after receiving the notification, each registered user is recommended to log onto the account provided and reset the user password. The relevant ESS user manual and quick reference guides are available on the ESS website.
The issuer must immediately acknowledge receipt of the security passwords for publication purposes and return the acknowledgement letter to HKEx by facsimile to 2523 1254. Upon receipt of such letter, HKEx will activate the passwords.
If you have any queries, please contact our registration hotline: 2840-3460.
Technical Specifications for Files
The “e-Submission System User Manual for Publication Related Matters” contains technical specifications governing files submitted to HKEx for publication, including as to font, layout and file format. The Manual can be accessed via the link shown at the bottom of all ESS website pages.
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