Archive - Letters to Issuers

This series comprises a selection of letters to issuers providing supplementary guidance on the Listing Rules and other listing matters, reminders of the relevant requirements and/or notifications of the Listing Rule developments.

Date (dd/mm/yyyy)	Particulars
30/10/2020	Publication of Consultation Conclusions Paper on Corporate WVR Beneficiaries
28/08/2020	Consultation Conclusions on Codification of General Waivers and Principles relating to IPOs and Listed Issuers and Minor Rule Amendments
21/08/2020	Publication on Consultation Conclusions on Review of Chapter 37 – Debt Issues to Professional Investors Only and Guidance on Disclosures in Listing Documents and Continuing Obligations under Chapter 37 – Debt Issues to Professional Investors Only
07/08/2020	Publication of Consultation Paper on Review of Listing Rules relating to Disciplinary Powers and Sanctions
24/07/2020	Publication of (i) Paperless Listing and Documents on Display Consultation Paper; and (ii) Updated Guidance Letter on CG and ESG for IPO Applicants
13/03/2020	Publication of the Exchange’s Biannual Enforcement Newsletter
06/03/2020	E-training and guidance materials on ESG Reporting
31/01/2020	Publication of Consultation Paper on Corporate WVR Beneficiaries
31/01/2020	Publication of Review of Issuers’ Annual Report Disclosure – Report 2019
18/12/2019	Publication of ESG Guide Consultation Conclusions and Review of Issuers’ ESG Practice Disclosure
06/12/2019	Publication of Consultation Paper on Review of Chapter 37 – Debt Issues to Professional Investors Only
06/09/2019	Publication of FAQs on recognition of overseas audit firms in relation to the amendments to the Financial Reporting Council Ordinance – Effective on 1 October 2019
09/08/2019	Publication of the Exchange's Biannual Enforcement Newsletter
02/08/2019	Consultation Paper on Codification of General Waivers and Principles relating to IPOs and Listed Issuers and Minor Rule Amendments
26/07/2019	Consultation Conclusions on Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments
24/05/2019	Consultation Conclusions on Proposal relating to Listed Issuers with Disclaimer or Adverse Audit Opinion on Financial Statements
17/05/2019	Publication of Consultation Paper on Review of the Environmental, Social and Governance Reporting Guide and related Listing Rules, and Guidance Materials on ESG and Gender Diversity
24/04/2019	Introducing the enhanced e-Submission System
01/02/2019	Publication of Consultation Conclusions on Proposed Changes to Documentary Requirements relating to Listed Issuers and Other Minor Rule Amendments
01/02/2019	Publication of the Exchange’s Biannual Enforcement Newsletter
31/01/2019	Publication of Review of Issuers’ Annual Report Disclosure – Report 2018
18/01/2019	Publication of Consultation Conclusions on Review Structure in relation to Listing Committee Decisions
18/12/2018	Directors E-Trainings - INEDs’ Role in Corporate Governance
16/11/2018	Publication of Latest Review of Listed Issuers’ Corporate Governance Practices and Updated Guidance Material on ESG Reporting
28/09/2018	Consultation Paper on Proposal relating to Listed Issuers with Disclaimer or Adverse Audit Opinion on Financial Statements
17/08/2018	Consultation Conclusions on Proposed Exemption for Aircraft Leasing Activities
10/08/2018	Publication of Consultation Paper on Review Structure in relation to Listing Committee Decisions
27/07/2018	Publication of Consultation Conclusions Paper on Review of the Corporate Governance Code and Related Listing Rules and Guidance for Boards and Directors
26/07/2018	Publication of the Exchange’s Biannual Enforcement Newsletter
29/06/2018	Consultation Paper on Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments
01/06/2018	Publication of the Financial Statements Review Programme Report 2017
25/05/2018	Consultation Conclusions on Delisting and Other Rule Amendments
18/05/2018	Analysis of Environment, Social and Governance Practice Disclosure in 2016/2017
04/05/2018	Consultation Conclusions on Capital Raisings by Listed Issuers
24/04/2018	Publication of Consultation Conclusions Paper on a Listing Regime for Companies From Emerging and Innovative Sectors
23/02/2018	Consultation Paper on a Listing Regime for Companies from Emerging and Innovative Sectors
12/02/2018	Director Training Webcast - Directors’ Responsibilities at IPOs
02/02/2018	Publication of the Exchange’s Biannual Enforcement Newsletter
26/01/2018	Publication of Review of Disclosure in Issuers’ Annual Reports to Monitor Rule Compliance – Report 2017
15/12/2017	Consultation Conclusions on the Review of the Growth Enterprise Market (GEM) and Changes to the GEM and Main Board Listing Rules
17/11/2017	Consultation Paper on Proposed Exemption for Aircraft Leasing Activities
03/11/2017	Consultation Papers on Review of the Corporate Governance Code and Related Listing Rules and Proposed Changes to Documentary Requirements relating to Listed Issuers and Other Minor Rule Amendments
13/10/2017	Publication of Exchange’s Report on Listed Issuers’ Corporate Governance Practices and Third Director Training Webcasts
22/09/2017	Consultation Papers on Capital Raisings by Listed Issuers and Delisting and Other Rule Amendments
21/07/2017	Publication of the Exchange’s Biannual Enforcement Newsletter and Second Director Training Webcast
14/07/2017	Publication of the Financial Statements Review Programme Report 2016
16/06/2017	Consultation Paper on Review of Growth Enterprise Market (GEM) and Changes to the GEM and Main Board Listing Rules
15/05/2017	Introducing the new Disclosure of Interests Online (DION) System
31/03/2017	Invitation to view Director Training Webcast - Duties of directors and the role and functions of board committees
25/01/2017	Publication of Review of Disclosure in Issuers’ Annual Reports to Monitor Rule Compliance – Report 2016
20/12/2016	Reminder Regarding Corporate Disclosures
09/12/2016	Exchange Launches Training for Company Directors
15/07/2016	Publication of the Financial Statements Review Programme Report 2015
27/06/2016	Revised publication window for publishing issuers’ documents on the Exchange’s website
17/06/2016	Joint Consultation Paper on Proposed Enhancements to the Stock Exchange of Hong Kong Limited’s Decision-Making and Governance Structure for Listing Regulation
13/05/2016	Publication of Analysis of Corporate Governance Practice Disclosure in March Year-end 2015 Annual Reports
15/02/2016	Invitation to Issuer Seminars on Environmental, Social and Governance Reporting Guide
29/01/2016	Publication of Review of Disclosure in Issuers’ Annual Reports to Monitor Rule Compliance – Report 2015
15/01/2016	Liquidity Provision Interruptions and Pricing Issues
21/12/2015	Consultation Conclusions on Review of the Environmental, Social and Governance Reporting Guide
06/11/2015	Guidance on continuing obligations under Chapter 37 of the Listing Rules
21/08/2015	Invitation to Issuer Seminars
17/07/2015	Consultation Paper on Review of the Environmental, Social and Governance Reporting Guide
17/07/2015	Publication of the Financial Statements Review Programme Report 2014
19/06/2015	Consultation Conclusions to Concept Paper on Weighted Voting Rights
17/06/2015	Guidance on use of a Mixed Media Offer
27/03/2015	Publication of Review of Disclosure in Issuers’ Annual Reports to Monitor Rule Compliance – Report 2014
06/02/2015	Consultation Conclusions on Review of Listing Rules on Disclosure of Financial Information with reference to the New Companies Ordinance and Hong Kong Financial Reporting Standards and Proposed Minor/Housekeeping Rule Amendments
19/12/2014	Consultation Conclusions on Risk Management and Internal Control: Review of the Corporate Governance Code and Corporate Governance Report
29/08/2014	Concept Paper on Weighted Voting Rights
22/08/2014	Consultation Paper on Review of Listing Rules on Disclosure of Financial Information with reference to the New Companies Ordinance and Hong Kong Financial Reporting Standards and Proposed Minor/Housekeeping Rule Amendments
08/08/2014	Request to Participate in ESG Reporting Survey
02/07/2014	Guidance on Compliance with the Corporate Governance Code
30/06/2014	Request to Participate in ESG Reporting Survey
20/06/2014	Consultation Paper on Risk Management and Internal Control: Review of the Corporate Governance Code and Corporate Governance Report
03/04/2014	ESG Training Webcasts
28/03/2014	Publication of Review of Annual Report Disclosure to Monitor Issuers’ Rule Compliance – Report 2013
21/03/2014	Invitation to Seminars
21/03/2014	Rule amendments relating to connected transactions and the definitions of connected person and associate
14/03/2014	Listing Rules Amendments relating to new headline categories
21/02/2014	Publication of the Financial Statements Review Programme Report 2013
21/02/2014	Listing Rules Amendments regarding annual listing fees in relation to the implementation of the New Companies Ordinance
26/04/2013	Consultation Papers on Review of Connected Transaction Rules and Proposed Changes to Align the Definitions of Connected Person and Associate in the Listing Rules
22/03/2013	Guidance on issuers’ Rule compliance based on the Exchange’s review of disclosure in issuers’ annual reports
15/03/2013	Consultation Conclusions on Trading Halts
01/03/2013	Rule implications arising from the adoption of Hong Kong Financial Reporting Standard 10 / International Financial Reporting Standard 10
25/01/2013	Publication of the Financial Statements Review Programme Report 2012
13/12/2012	Consultation Conclusions on Board Diversity
30/11/2012	Consultation Conclusions on rule changes consequential on the statutory backing of continuing obligation for listed companies to disclose inside information
07/09/2012	Consultation Paper on Board Diversity
31/08/2012	Consultation Conclusions on Environmental, Social and Governance Reporting Guide
03/08/2012	Consultation Paper on rule changes consequential on the statutory backing of continuing obligation for listed companies to disclose inside information
27/07/2012	Consultation Paper on Trading Halts
10/05/2012 (Withdrawn on 11/12/2015)	Continuous disclosure obligations of issuers
20/04/2012	Plain Language Guide on Connected Transaction Rules
30/03/2012	Update on issuance of debt securities to professional investors under Chapter 37 of the Main Board Listing Rules
30/01/2012	Revised publication window for issuers’ documents through the HKExnews website and enhancement to e-Submission System for publication of issuer’s documents
20/12/2011	Listed company information dissemination and related trading arrangements in the event of interruption to the HKExnews website service or the information dissemination system
12/12/2011	Electronic Submission of Correspondence to the Listing Division
09/12/2011	Consultation Paper on Environmental, Social and Governance Reporting Guide
28/10/2011	Publication of Consultation Conclusions and Listing Rule Amendments on Review of the Corporate Governance Code and Associated Listing Rules
20/10/2011	SFC, HKEx to streamline property valuation requirements for applicants and issuers
09/08/2011 (Withdrawn on 01/01/2013)	Recent market conditions and the disclosure obligations of listed issuers
25/07/2011	Reminder to exercise caution when approached by individuals posing as Listing Division staff
04/07/2011	Tax arrangements on dividends paid to Hong Kong residents by Mainland companies
30/06/2011 (Withdrawn on 11/12/2015)	Policy on Share Trading Suspension
20/05/2011	Publication of Consultation Conclusions and Listing Rule Amendments on Ex-entitlement Trading and Shareholder Approval
28/01/2011	Listing Rule Amendments relating to changes in trading hours
25/01/2011	Letter on use of Mixed Media Offer
21/01/2011	Publication of consultation conclusions and Listing Rules amendments on requirements for Qualified Property Acquisitions and formation of joint ventures
21/01/2011 (Withdrawn on 01/01/2013)	New guidelines on publication of overseas regulatory announcements
21/01/2011	Consultation Conclusions Paper on Proposed Change to Minimum Shareholder Requirement for the Market Capitalisation/Revenue Test
17/12/2010	Consultation Paper on Ex-entitlement Trading and Shareholder Approval
17/12/2010	Consultation Paper on Review of the Code on Corporate Governance Practices and Associated Listing Rules
10/12/2010	Publication of Consultation Conclusions and Listing Rule amendments on acceptance of Mainland accounting and auditing standards and Mainland audit firms
03/12/2010	Consultation begins on proposals to streamline property valuation requirements
18/11/2010 (Updated on 17/12/2018)	Circular to Management Companies of SFC-authorised Exchange Traded Funds - List of Potential Events Triggering Ongoing Disclosure
30/09/2010	Directors' Compliance with the Model Code
24/09/2010	Publication of guidance material on general meetings
10/09/2010	Consultation Paper on Proposed Change to Minimum Shareholder Requirement for the Market Capitalisation/Revenue Test
10/09/2010	Proposed changes to requirements for Qualified Property Acquisitions and formation of joint ventures
20/05/2010	Publication of consultation conclusions and Listing Rule amendments
18/12/2009	Rule amendments to implement the proposals to accelerate rights issues and open offers
14/12/2009	Publication of guidance materials on Listing Rules and corporate actions
23/11/2009	Clarification of continuing obligations of authorised collective investment schemes listed under Chapter 20 of the Main Board Listing Rules
30/10/2009	Phase 2 of New Post-vetting Regime
05/10/2009 (Withdrawn on 15/6/2012; Superseded by GL37-12)	Review of the liquidity disclosure in listing documents published after the issuance of "Guidance Regarding Indebtedness, Liquidity, Financial Resources and Capital Structure Disclosure in Listing Documents issued by New Applicants" (Withdrawn on 15/6/2012; Superseded by GL37-12)
02/10/2009	(1) Consultation Paper on Proposed Changes to the Connected Transaction Rules (2) Rule amendments to streamline the filing and checklist requirements for listing of equity securities
18/09/2009	Proposed changes to the requirements for circulars and listing documents of listed issuers
11/09/2009	Consultation Paper on New Listing Rules for Mineral and Exploration Companies
31/07/2009	Proposals to accelerate rights issues and open offers
31/07/2009	Rule amendments to implement the proposal under Issue 15 (self-construction of assets) of the 2008 Combined Consultation Paper
24/07/2009 (Withdrawn on 24/1/2014)	Stock Exchange publishes guidance on its IPO process
26/06/2009	Proposals to streamline the filing and checklist requirements for the listing of equity securities
13/03/2009	Modification of the "Black Out" period extension - new rule effective 1 April 2009
31/12/2008	Deferral of the extension of the "Black Out" period
15/12/2008	Submission of revised undertakings by existing directors and updates of personal data of directors and supervisors
28/11/2008	Post-vetting of listed issuers' announcements and new requirements for disclosure of changes in issued share capital of listed issuers
31/10/2008 (Withdrawn on 01/01/2013)	Recent economic developments and the disclosure obligations of listed issuers
01/08/2008	2008 Combined Consultation Paper - implementation of minor Listing Rule amendments
21/07/2008 (Withdrawn on 15/6/2012; Superseded by GL37-12)	Guidance regarding indebtedness, liquidity, financial resources and capital structure disclosure in listing documents issued by new applicants (Withdrawn on 15/6/2012; Superseded by GL37-12)
14/07/2008	Corporate Governance Practice Disclosure in 2007 Annual Reports
21/05/2008	Alignment of operational hours of the Electronic Disclosure regime with the implementation of the closing auction session
04/02/2008	Revised Policy on suspensions following issuers' publication of announcements with price sensitive information
04/02/2008	HKEx launches its Designated Issuer Website (HKExnews website)
11/01/2008	Combined Consultation Paper on Proposed Changes to the Listing Rules
27/07/2007	Corporate Governance Practice Disclosure in 2006 Annual Reports
25/07/2007 (Updated on 14 March 2014)	Reminder on selection of headlines under Electronic Disclosure
13/07/2007	Guidance on disclosure when a listed issuer's director resigns
18/06/2007	Suspension related matters under Electronic Disclosure
12/06/2007	Clarification of formal reporting requirements for profit forecasts by Main Board issuers
04/06/2007	Information Gathering: Reminder concerning the availability of authorised representatives
11/05/2007	Closure of books – MB Rule 13.66 and GEM Rule 17.78
11/12/2006	Briefing sessions on HKEx's e-Submission System (ESS)
20/11/2006	New model for information submission and dissemination by Main Board and Growth Enterprise Market (GEM) issuers - e-Submission System registration/reregistration
23/10/2006	Abolition of Short-form Preliminary Results Announcements for Main Board and Growth Enterprise Market (GEM) Listed Issuers
07/07/2006	New Model for information submission and dissemination by Main Board and Growth Enterprise Market (GEM) issuers
28/11/2005	Suspension of Collection of Investor Compensation Levy
18/11/2005	Publication of Exposure Paper entitled "Abolition of Requirement for Main Board Issuers to Publish Paid Announcements in Newspapers and Related Matters"
17/11/2005 (Withdrawn on 01/01/2013)	Guidance on dissemination of results announcements by listed issuers and associated media and analyst briefings
05/09/2005	MB Rule 17.03(13) and GEM Rule 23.03(13) - Supplementary guidance on adjustments to the exercise price and number of share options under the Listing Rule requirements
17/06/2005	MB Rule 13.74 and GEM Rule 17.46A - Disclosure of directors proposed to be appointed or re-elected
28/10/2004 (Withdrawn; Superseded by the letter to issuers "New guidelines on publication of overseas regulatory announcements" issued on 21 January 2011)	MB Rule 13.09(2) - Publication of overseas regulatory announcement on the Exchange's website (Withdrawn; Superseded by the letter to issuers "New guidelines on publication of overseas regulatory announcements" issued on 21 January 2011)
17/05/2004	MB Rules 13.13 to 13.15 - "No action" Letter regarding advances to entities made by Main Board listed banks
18/02/2003	Submission of soft copies for publication
19/03/2002	Introduction of a pre-opening session
06/02/2002	Reduction in printing requirements and related matters
21/01/2002	Submission of announcements by listed companies requiring clearance/comments by the Stock Exchange
18/05/2001	MB Rules - Dissemination of Main Board Issuers' announcements through the HKEx in place of publication as paid announcements in newspapers
16/05/2000	MB Rules Appendix 16 - Disclosure requirements for interim reports
07/04/1999	Notification of results announcements for any year, half-year or other period
09/11/1998	Notification of results announcements for any year, half-year or other period
04/03/1998	Notification to Hong Kong Securities Clearing Company Limited in respect of certain corporate activities which may affect the eligibility of listed securities in CCASS
10/02/1998	Corporate communications to non-registered holders of securities upon request through Hong Kong Securities Clearing Company Limited
21/01/1998	Corporate communications to non registered holders of securities
11/12/1997 (Withdrawn on 01/01/2013)	Reminder of obligations under paragraph 2 of the Listing Agreement - price sensitive information
16/09/1997	Submission of monthly return on movement of listed securities
29/08/1997 (Withdrawn on 01/01/2013)	Rule Change Highlight - paragraph 2 of the Listing Agreement - price sensitive information
29/08/1997 (Withdrawn on 01/01/2013)	MB Rules - Reminder to listed issuers that any change in the application of proceeds from that originally disclosed may constitute price sensitive information under paragraph 2 of the Listing Agreement
16/05/1997(Withdrawn on 30/6/2010; Superseded by GL18-10)	Publication materials under Rule 9.08 (Withdrawn; Superseded by GL18-10)