China Securities Regulatory Commission, Contents and Formats for Information Disclosures by Companies That Offer Securities to the Public Guidelines No.9: Application Documents for Initial Public Offerings

Issued: March 6 2001
Effective: as of date of issue
Interpreting authority: China Securities Regulatory Commission
Applicability: These Guidelines apply to all companies that apply for initial public offerings (Article 2). Application documents are the documents that must be submitted by an issuer to the China Securities Regulatory Commission in connection with the initial public offering of its shares (Article 3).

Main contents: According to the Guidelines, a full set of application documents shall consist of two parts: those that are to be disclosed in designated publications and on websites and those that are not required to be disclosed (Article 4). The two parts are listed separately in the appendix to the Guidelines. The first part includes the prospectus (draft for submission), financial report and listing announcement. The second part comprises the sponsor's sponsoring documents, lawyer's legal opinion, issuer's organization documents and other relevant documents. Once submitted, the documents may not be supplemented, withdrawn or replaced without the consent of the China Securities Regulatory Commission (Article 6). The applicant and the relevant professional intermediaries shall make representations as to the authenticity, accuracy and completeness of the submitted documents (Article 7). For each paper submission, there shall be corresponding electronic submission in the standard .doc or .rtf format (Article 20).
Related legislation: PRC, Company Law (Amended), Oct 27 2005, CLP 2005 No.10 p21 and PRC, Securities Law (Amended), Oct 27 2005, CLP 2006 No.1 p31
Repealed legislation: Issue of the Contents and Formats for Information Disclosures by Companies That Offer Securities to the Public Guidelines No. 8: Contents and Formats of Verification Notes (Trial Implementation) Circular, Apr 1 1998 and Issue of the «Standard Forms of Materials to be Submitted by Companies in Application for Offering Shares to the Public»Circular, Mar 18 1999