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CF028M - CHECKLIST OF INFORMATION TO BE INCLUDED IN LISTING ---

By Terry Gray,2014-08-11 22:38
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CF028M - CHECKLIST OF INFORMATION TO BE INCLUDED IN LISTING ---

    CF028M

    THE STOCK EXCHANGE OF HONG KONG LIMITED

    (A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)

    CHECKLIST

    SUPPLEMENTAL INFORMATION FOR LISTING DOCUMENT OF INVESTMENT COMPANY

    (MAIN BOARD)

Name of Issuer :

    Case Number :

    Description of Transaction :

    Additional information required in the Listing Document:-

     Complied Comment

    With? (where

     Page (Y/N/NA) applicable)

     Rule 21.08

(1) details of all costs and charges e.g. the fees of any

    management company payable from the investment

    company’s assets which an investor would be likely to

    consider material, and all deductions made from money

    subscribed for securities;

(3) details of the investment objectives, policies and restrictions

    which will be observed on the investment of the investment

    company’s assets and the intended diversification of assets by

    country or region and, in the case of a newly formed

    investment company, a statement that (save to the extent

    agreed otherwise with the Exchange at the time of listing)

    such investment objectives, policies and restrictions will not

    be changed for at least three years following the issue of the

    listing document without the consent of the shareholders of

    the investment company in general meeting. In addition the

    listing document shall clearly distinguish between those

    investment objectives, policies and restrictions which may

    only be altered with shareholders approval, those which may

    be altered without shareholders approval and those which are

    required by rule 21.04(3)(a) and (b) to be complied with in

    order for the investment company to maintain its listing under

    this Chapter. The listing document must also disclose the

    extent to which it is intended to invest in options, warrants,

    commodities, futures contracts, unlisted securities and

    precious metals and must include an appropriate negative

    statement if there is an intention not to invest in any such

    investments;

(4) details of the distribution policy and the approximate dates on

    which distributions will be made;

(5) details of the principal taxes levied on the investment

    company’s income and capital (including taxes withheld at

    source on distributions received by the investment company)

    and tax, if any, deducted on distributions to shareholders;

     Page 1 of 3 January 2009

    CF028M

    THE STOCK EXCHANGE OF HONG KONG LIMITED

    (A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)

     Complied Comment

    With? (where

     Page (Y/N/NA) applicable)

    (6) a summary of the borrowing powers of the investment

    company, if any, stating that at no time will it exceed a certain

    amount, and stating the circumstances under which

    borrowings might take place;

(8) the name, address and description of any management

    company, custodian, investment adviser, distribution

    company and any alternate custodian;

(9) the full names, addresses and descriptions of every director of

    the investment company and every director of the

    management company;

(12) a statement as to whether or not the directors of the

    investment company, the management company, any

    investment adviser or any distribution company, or any

    associate of any of those persons, is or will become entitled to

    receive any part of any brokerage charged to the investment

    company, or any re-allowance of other types on purchases

    charged to the investment company;

(13) a warning that an investment in the investment company is

    subject to abnormal risks, if the nature of the investment

    policy to dictates;

(14) details of the investment company’s foreign exchange policy

    and in particular details of any foreign exchange controls or

    restrictions of relevance to the investment company or its

    investment policy or objectives;

(15) full details of all listed investments and all other investments

    with a value of more than 5% of the investment company’s

    gross assets, and details of at least the ten largest investments,

    stating:-

    (a) a brief description of the business;

    (b) proportion of the share capital owned;

    (c) cost;

    (d) directors’ valuation and, in the case of listed

    investments, market value;

    (e) dividends or other income received during the year

    from such investment (indicating any abnormal

    dividends);

    (f) dividend cover or underlying earnings;

    (g) any extraordinary items; and

     Page 2 of 3 January 2009

    CF028M

    THE STOCK EXCHANGE OF HONG KONG LIMITED

    (A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)

     Complied Comment

    With? (where

     Page (Y/N/NA) applicable)

    (h) net assets attributable to the investment; and

    (16) an analysis of any provision for diminution in value of

    investments, naming the investments against which provision

    has been made and stating for each investment:-

    (a) cost;

    (b) provision made;

    (c) book value; and

    (d) reason for the provision.

     Rule 21.10

    The statement of responsibility required under paragraph 2 of Part B, of Appendix 1 must be given by the directors of the management

    company as well as the directors of the investment company and the statement in the listing document should be modified accordingly.

    ; This checklist is provided for reference only. In case of doubt, listed issuers are advised to refer to the

    Listing Rules for the specific requirements.

    ; Please make annotation in the margin of the draft document for the respective paragraph of the Listing

    Rules.

    ; When your answer to an item on the checklist is “No” or “Not applicable”, the reason for such response

    should be clearly disclosed in the “Comment” section.

Submitted by: Date:

     Signature

     Name and Firm

     Page 3 of 3 January 2009

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