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1、CHAPTER1Chapter1GENERALINTERPRETATIONFortheavoidanceofdoubt,theRulesGoverningtheListingofSecuritiesonTheStockExchangeofHongKongLimitedapplyonlytomattersrelatedtothosesecuritiesandissuerswithsecuritieslistedonthestockmarketoperatedbytheExchangeotherthantheGrowthEnterpriseMarket(GEM).Thisstockmarketi
2、sde?nedastheMainBoardintheRulesGoverningtheListingofSecuritiesontheGrowthEnterpriseMarketofTheStockExchangeofHongKongLimited(theGEMListingRules).AllmattersrelatedtoGEMandsecuritiesandissuerswithsecuritieslistedonGEMaregovernedbytheGEMListingRules.1.01Throughoutthisbook,thefollowingterms,savewhereth
3、econtextotherwiserequires,havethefollowingmeanings:accountshasthesamemeaningas?nancialstatementsandvice-versaapprovedshareregistrarashareregistrarwhoisamemberofanassociationofpersonsapprovedundersection12oftheSecuritiesandFutures(StockMarketListing)RulesArticlestheArticlesofAssociationoftheExchange
4、asset-backedsecuritiesdebtsecuritiesbackedby?nancialassetswhich,atthetimeoftherelevantissues,areevidencedbyagreementsandintendedtoproducefundstobeappliedtowardsinterestpaymentsdueonthesecuritiesandrepaymentofprincipalonmaturity,exceptthosedebtsecuritieswhicharedirectlysecured,inwholeorinpart,onreal
5、propertyorothertangibleassetsassociate(a)inrelationtoanindividualmeans:(i)hisspouse;(ii)anychildorstep-child,naturaloradopted,undertheageof18yearsofsuchindividualorofhisspouse(togetherwith(a)(i)above,thefamilyinterests);(iii)thetrustees,actingintheircapacityassuchtrustees,ofanytrustofwhichheoranyof
6、hisfamilyinterestsisabene?ciaryor,inthecaseofadiscretionarytrust,is(tohisknowledge)a7/083/0411discretionaryobjectandanycompany(trustee-controlledcompany)intheequitycapitalofwhichthetrustees,actingintheircapacityassuchtrustees,aredirectlyorindirectlyinterestedsoastoexerciseorcontroltheexerciseof30%(
7、orsuchotheramountasmayfromtimetotimebespeci?edintheTakeoversCodeasbeingthelevelfortriggeringamandatorygeneraloffer)ormoreofthevotingpoweratgeneralmeetings,ortocontrolthecompositionofamajorityoftheboardofdir
