China Securities Regulatory Commission, Guidelines for the Contents and Formats for Information Disclosures by Companies That Offer Securities to the Public (No.10): Application Documents for Public Offers of Securities by Listed Companies

Issued: May 8 2006
Effective: as of date of issue

Main contents: The catalogue of application documents appended to these Guidelines is the minimum requirement for offer application documents. The China Securities Regulatory Commission may, according to its requirement of check and examination, require supplementary materials from the issuer and intermediary institutions (Article 3). Application documents shall include the offer documents, issuer's application and authorization documents, sponsor's recommendation letter and due diligence review, legal opinion and lawyer's work report, documents relating to the use of proceeds raised from the current securities offer and relevant financial reports of the issuer, etc. Without consent from the China Securities Regulatory Commission, no addition to, or withdrawal or replacement of, the application documents is allowed once they have been accepted
(Article 4).
Related legislation: PRC Company Law (Amended), Oct 27 2005, CLP 2005 No.10 p.21; PRC Securities Law (Amended), Oct 27 2005, CLP 2006 No.1 p.31 and Measures for the Administration of Offers of Securities by Listed Companies
Repealed legislation: Contents and Formats for Information Disclosures by Companies That Offer Securities to the Public Guidelines (No.10): Application Documents for Offering of New Shares by Listed Companies, Apr 2 2001, CLP 2001 No.4 p.6 and Contents and Formats for Information Disclosures by Companies That Offer Securities to the Public Guidelines (No.12): Application Documents for Offering of Convertible Bonds by Listed Companies, Apr 26 2001, CLP 2001 No.5 p.5