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Form C3Z Formal Application (For Open-ended Investment Companies, Unit Trusts, Mutual Funds and Other Collective Investment Schemes governed by Chapter 21 of the Listing Rules)

Form C3Z

This form, suitably adapted for the specific legal form of the issuer, must be lodged duly completed at least FOUR CLEAR BUSINESS DAYS prior to the hearing of the application by the Exchange.

To: Head of Listing
The Listing Division,
The Stock Exchange of Hong Kong Limited

..........., 20 .....

Dear Sir,

1. We [ .......................................... hereby apply]/[are instructed by .......................................... to make application] for listing of and permission to deal in the securities/instruments referred to in paragraph 2 below subject to the listing rules of The Stock Exchange of Hong Kong Limited entitled the "Rules Governing the Listing of Securities" (the "Listing Rules").
2. Application is now made in respect of an open-ended number of[units]/[units]/[redeemable preference shares]/[description of other redeemable instrument] of $ ................. each in the issuer representing the [relevant entity's] authorised capital and which shall be issued at a price not less than the net asset value at the time of issue.
3. The [securities]/[other relevant description] for which application is now made:—
(a) are identical in all respects/are divided into the following classes:—

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(Note 1)
(b) are not listed or dealt in on another stock exchange/are listed or dealt in on the following stock exchange(s):—

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(c) have been in the previous six months, are or will be the subject of an application for listing on the following stock exchange(s):—

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4. The following are particulars of the qualifications and experience of the persons who are/ will be responsible for investment management and investment advisory services in relation to the open-ended investment company's/unit trust's/mutual fund's/other collective investment scheme's portfolio.

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5. We declare that:—
(1) save as disclosed to The Stock Exchange of Hong Kong Limited in writing, the open-ended investment company/unit trust/mutual fund/other collective investment scheme complies and will comply in all material respects with all applicable regulations and legislation; (Note 2)
(2) all information required to be included in the listing document/explanatory memorandum by virtue of all applicable regulations and legislation has been included therein or, if the final version has not yet been submitted (or reviewed), will be included therein before it is so submitted; (Note 2) and
(3) there are no other facts bearing on this application for listing of and permission to deal in the securities/instruments referred to in paragraph 2 above which, in our opinion, should be disclosed to The Stock Exchange of Hong Kong Limited.
6. We undertake to comply with Listing Rules from time to time of The Stock Exchange of Hong Kong Limited so far as applicable to the open-ended investment company/unit trust/ mutual fund/other collective investment scheme.
 

Yours faithfully,
(Note 3)



Signed ..................................
Name:
For and on behalf of
[Sponsor's Name]




AND



Signed ..................................
Name:
for and on behalf of
[Trustee, Management Company, Mutual
Fund, Custodian, Other Relevant Entity]

NOTES

(1) "Identical" means in this context:-
(1) the [securities]/[other relevant description] are of the same nominal value with the same amount called up or paid up; and
(2) they carry the same rights as to unrestricted transfer, attendance and voting at meetings and rank pari passu in all other respects.
(2) The declarations in sections 5(1) and 5(2) must be supported by the opinion(s) of (a) lawyer(s) qualified to opine on the regulations and laws relevant to this application.
(3) This form must be signed, in the case of a unit trust, for and on behalf of the Trustee and any Management Company; and, in the case of a mutual fund, by a duly authorised officer of the mutual fund and for and on behalf of the Custodian and any Management Company and; in the case of any other relevant entity, by a duly authorised person; and in the case of a new applicant, also by the sponsor.