Entire Section

  • Corporate communications to non registered holders of securities (17.60)

    • 17.60

      An issuer shall:—

      (1) as soon as practicable following a request to HKSCC, and at the expense of the issuer, send to any non registered holder (by means permitted by the GEM Listing Rules) copies of any corporate communications; and
      (2) forward to each participant regardless of whether the participant is a member of the issuer, one copy of each of the corporate communications of the issuer that relate to the relevant Eligible Security, at the same time as they are despatched to the holders of those securities with registered addresses in Hong Kong. Whenever practicable, an issuer should provide a participant with such reasonable number of additional copies of these documents as the participant requests in advance and undertakes to forward to its bona fide clients who have beneficial interests in those Eligible Security.

      1 For the purpose of this rule, the following terms have the following meanings:—

      "non registered holder" such a person or company whose listed securities are held in CCASS, directly or through a participant, and who has notified the issuer from time to time, through HKSCC, that such person or company wishes to receive corporate communications; and
      "participant" a person or company admitted for the time being by HKSCC as a participant of CCASS.
      2 HKSCC will provide listed issuers with up to date lists of participants.