101 tips for executives: A practical handbook to Hong Kong IPOs 2018

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