A new applicantin the case ofequity securities.units in a unit trust or redeemable shares ina mutualfund.must be sponsored by a member of the Exchange' issuing house, merchant banks or other similar person who is acceptable to the Exchange.A potentialsponsor will not beconsidered acceptable by the Exchangeifthe Exchange does notconsider thatit will beable to give the new applicant impartialadvice.The sponsor must be appointedby the new applicantfor the purpose and must have agreed toobserve the guidelines setoutinthe modelcode forsponsors issuedby the Exchange
The requirement to have a sponsor willend once the new applicant is listed althoughlitis recommended that theissueril retain theservices ofits sponsor forat least one year following its listing.
The sponsoris responsible for preparing the new applicantfor listingforlodging theformalapplicationforlistingandallsupporing documents with the Exchangc and for dealing with the Exchange on all matters arising inconnection with the application.
[if !supportLists]1. [endif]如新申请人申请将股本证券、单位信托的基金单位或互惠基金的可赎回股份上市，则须由一名本交易所会员、发行商、商人银行或本交易所接纳的其他人士保荐。如本交易所认为某位可能担任保荐人的人士不能为申请人提供公正的意见，本交易所将不会考虑接纳其为保荐人。保荐人须由新申请人为申请上市事宜而委任，并须同意遵守本交易所发出的保荐人标准守则所载的指引。
要求委任保荐人的规定，于新申请人上市后即告终止，但本交易所建议发行人于上市后至少一年内继续留用其保荐人。
保荐人负责为新申请人筹备有关上市的事宜，将正式上市申请表格及一切有关的文件呈交本交易所，并处理本交易所就有关申请的一切事宜所提出的问题。
Applications for Market Maker Permits
601.An Options Trading Exchange Participant may apply to the Exchange for permission to make a marker in Options Contractsiina particularopton class by completing the prescribed application form and returning it to the Exchange。together with such application feeas may for thetime being be prescribedby the Exchange in accordance with the instructions contained in the application form
602.Before granting aMarket Maker permitthe Exchange may require the applying Options Trading Exchange Participant to demonstate to the satisfactionofthe Exchange that he is suitably qualifiedto make a marketin the Options Contracts inrespect of whichthe applicatonis made (havingregardto suchmaters as the Exchange mayinits absolute discreton.consider to be appropriate.including the financial standingtrading recordpersonnel.computer equipment andinternal security procedures of the applying Options Trading Exchange Participant).
603.The Exchange may reject any application made under Options Trading Rule 601.6
604.The Options Trading Exchange Participant who is applying for a Market Maker permit,SEOCH Participants,and SEOCH wilI be notified in writing by the Exchange of the grant ofeach Market Maker permit.
605.A register ofMarket Makers.containing the name of each Options Trading Exchange Participant to whom a permit has been granted， the commencement andexpiry dates ofeachsuch permitand the option class inrespect of whicheach such permithas been granted.will be maintained by the Exchange.
[if !supportLists]1. [endif]申请庄家执照
601. 期权买卖交易所参与者可向交易所申请，允许其担任某期权类别的期权合约的庄家；并按照申请表格所载指示，填妥指定的申请表格，连同交易所当时指定的申请费用交回交易所。
602. 发出庄家执照前，交易所可能要求期权买卖交易所参与者的申请人，在交易所信纳的情况下，证明庄家执照的申请人有合适的资格，足以为其所申请的有关期权合约进行庄家活动（交易所认为适用的考虑事项包括：期权买卖交易所参与者申请人的财务状况、交易记录、职员、电脑设备及内部保安程序）。
603.交易所可拒绝任何根据期权交易规则第601条作出的申请。
604.交易所将会就每一发出的庄家执照，以书面通知申请庄家执照的期权买卖交易所参与者、联交所期权结算所参与者及联交所期权结算所。
605. 交易所将设有庄家登记名册，用以记载获授予执照的期权买卖交易所参与者的名称、此等执照的开始生效及届满日期，以及此等执照所涉及的期权类别。
