Listing Applicant Submission of Listing Application (Form A or A1)
HKEX
IPO Opens
IPO Continues
• Review listing documents (including prospectus and securities application forms such as white, yellow, pink, blue and green application forms) as well as timetable • Prepare share/ unit certificates, refund cheques, securities seal, etc.
Before Bulk Print of Prospectus
• Advise on IPO logistics • Set up a white form electronic subscription platform, if required
• Provide a white form electronic subscription service, if required • Prepare consolidated subscription reports • Process securities applications and • Attend to cross-border removal/ transfer of identify invalid/ suspected multiple shares (if applicable) applications • Print and dispatch share/ unit certificates and • Reconcile securities application details refund cheques with the receiving bank • Attend to e-Auto refund payment instructions • Prepare balloting schemes • Provide allotment results publication service/ • Review allocation/ allotment results online and hotline enquiry services announcement • Handle brokerage payment
IPO Closes
• Set up registers of members/ unit holders • Deposit into the Central Clearing and Settlement System (CCASS) borrowed shares, sale shares, placing shares, as well as allocated shares for yellow application forms and CCASS EIPO applications • Handle claims of non-receipt of share/ unit certificates and refund cheques
Ongoing Services
• Registry Management • Shareholder Communications • Corporate Actions • Poll Scrutineer Service
• Website Design, Set Up and Maintenance • Share Option/ Award Schemes Administration • Shareholder Identification
Chairman
Company Secretary
Board of Directors
Audit Committee
Chief Financial Officer
Chief Executive Officer
Head of XX Department
Head of XX Department
Remuneration Committee
Head of XX Department
Nomination Committee
Chief Operating Officer