Whole Section

  • Documents to be Submitted with the Prospectus, Offering Memorandum or Introductory Document

    • 314

      The documents set out below must be submitted together with the applicable listing fee. Where the debt securities are issued by an issuer whose equity securities are listed on the Exchange, or where the debt securities are offered primarily to specified investors, the issuer need only submit the documents set out in Rule 314(5), (6), (7) and (8).

      (1) The Memorandum and Articles of Association or other constituent documents if any, incorporating all amendments to date.
      (2) Material contracts (other than those entered into in the ordinary course of business) entered into during the preceding 24 months or proposed to be entered into by the issuer and its subsidiaries with any director, controlling shareholder or their associates.
      (3) Auditors' report to management on the internal control and accounting system of the issuer and its principal subsidiaries.
      (4) For an issuer which is engaged in property investment or development, property valuation report(s) of each principal asset of the group that is revalued.
      (5) The mortgage indenture or equivalent instrument certified by the trustee.
      (6) The trust deed and a checklist showing compliance with the requirements in Rule 308(3), (4) and (5).
      (7) Other documents, such as a deed poll, that may be applicable to the issue of debt securities.
      (8) A checklist showing compliance with the relevant requirements under Rules 303 to 309.

      Amended on 29 September 201129 September 2011, 19 May 201619 May 2016 and 12 February 2021.