LD23-2011
|
04/2015
(06/2024)
|
Main Board Rules 8.08 and 13.32
|
Whether the Exchange would allow a listed issuer to resume trading in its shares when it had restored its public float to 15 per cent
|
LD110-2017
|
08/2018
(06/2024)
|
Main Board Rules 6.01(2), 6.04, 6.10, 8.08 and 13.32
|
Whether the Exchange would cancel the listing of a listed issuer whose shares had been suspended from trading for a prolonged period due to insufficient public float
|
LD114-2017
|
03/2019
(06/2024)
|
Main Board Rules 2.03, 2.06, 6.01, 6.04 and 6.10
|
Whether a listed issuer was no longer suitable for listing due to its failure to address audit issues and forensic findings that resulted in continued trading suspension
|
LD99-4
|
04/2015
(06/2024)
|
Main Board Rules 2.03 and 13.36
|
Whether a listed issuer could seek a prior mandate from its shareholders for a proposed placing of new shares to finance an acquisition
|
LD26-2012
|
07/2018
(06/2024)
|
Main Board Rules 7.19A(1) and 7.27A
|
Whether a listed issuer could seek a prior mandate from its shareholders for a proposed rights issue to finance an acquisition
|
LD128-2020
|
09/2020
(06/2024)
|
GEM Rules 17.39, 17.41, 17.42 and 17.42B
|
Whether a listed issuer could seek a prior mandate from its shareholders to issue new shares over a period of time under a share issuance proposal
|
LD113-1
|
07/2018
(06/2024)
|
Main Board Main Board Rule 7.19A(1)
|
Whether a proposed rights issue of shares with bonus warrants required independent shareholders' approval
|
LD71-2013
|
07/2018
(06/2024)
|
Main Board Rules 7.19A and 7.27A
|
Whether a proposed rights issue that would increase the listed issuer's market capitalisation by more than 50 per cent required independent shareholders' approval
|
LD25-2012
|
08/2023
(06/2024)
|
Main Board Rules 13.36 and 19A.38
|
Whether the proposed rights issue by a PRC issuer under general mandate would be subject to the 20 per cent discount limit on issue price
|
LD56-2013
|
04/2015
(06/2024)
|
Main Board Rules 8.08(1)(a) and 13.32
|
Whether the Exchange would grant listing approval for new shares to be issued by a listed issuer upon conversion of convertible notes that could result in the listed issuer’s public float falling below the minimum requirement
|
LD54-2013
|
07/2018
(06/2024)
|
Main Board Rules 13.36 and 28.05
|
Whether the Exchange would approve the proposed changes to the terms of convertible bonds issued by a listed issuer under general mandate
|
LD83-2014
|
01/2014
(06/2024)
|
Main Board Rules 8.08(2) and 8.08(3)
|
In respect of a proposed rights issue of shares with bonus warrants, whether the Exchange would waive the requirements on the number and spread of warrantholders at the time of listing of the warrants
|
| LD44-1 |
Q1/2005
(06/2024)
|
Main Board Rules 8.08, 8.21C and 10.07(1)(a)
|
In a reverse takeover where the listed issuer was deemed to be a new listing applicant, whether the minimum public float requirement could be satisfied by placing of new shares and/or existing shares by the listed issuer and/or its controlling shareholder prior to the completion of the transaction
|
LD82-2014
|
04/2015
(06/2024)
|
Main Board Rules 8.08, 10.06(3) and 13.32
|
(i) Whether a listed issuer could proceed with a share repurchase offer which might result in a lack of open market in its shares; and (ii) whether the Exchange would give consent to the listed issuer for issuing new shares within 30 days after completion of such offer to meet the public float requirement
|
LD8-2011
|
04/2015
(06/2024)
|
Main Board Rule 8.08(1)(a)
|
Whether a listed issuer was required to include convertible preference shares as part of its total issued shares in calculating the public float of its listed shares
|
LD101-1
|
04/2015
(06/2024)
|
Main Board Rules 8.08(1)(a) and 13.32(1)
|
Whether the Exchange would grant listing approval for new shares to be issued by a listed issuer to an investor that could result in the listed issuer’s public float falling below the minimum requirement
|
LD77-3
|
10/2009
(06/2024)
|
Main Board Rules 8.08(1)(d) and 13.32
|
Whether the Exchange would allow a listed issuer to reduce its minimum public float to 15 per cent based on its market capitalisation after listing
|
LD99-1
|
07/2010
(06/2024)
|
Main Board Rule 10.06(3)
|
Whether the Exchange would approve a listed issuer's proposed issue of new shares after its redemption of convertible bonds
|
| LD93-5 |
06/2010
(06/2024)
|
Main Board Rules 14.40 and 14.49
|
Whether a listed issuer was required to seek reapproval from its shareholders for changing the terms of a very substantial acquisition after it had been approved by shareholders
|
LD75-5
|
10/2019
(06/2024)
|
Main Board Rule 14.58(4)
|
Whether the Exchange would waive the requirement for disclosing the consideration for certain technology and patent to be acquired by the listed issuer under a discloseable transaction
|
LD79-2014
|
07/2014
(06/2024)
|
Main Board Rules 14A.25, 14A.36 and 14A.76
|
Whether the proposed amendments to a non-competition undertaking given by the controlling shareholder to the listed issuer constituted a connected transaction
|
LD103-1
|
01/2023
(06/2024)
|
Main Board Rules 17.02(1)(b) and 17.03(17)
|
Whether the Exchange would approve the proposed changes to the terms of pre-IPO share option plan of the listed issuer
|
LD124-2020
|
04/2020
(06/2024)
|
Main Board Rules 8.09(2) and Paragraph 3(c) of Practice Note 15
|
Whether the remaining group could meet the minimum market capitalisation requirement under Main Board Rule 8.09(2)
|
LD125-2020
|
04/2020
(06/2024)
|
Main Board Rules 8.09(2) and Paragraph 3(c) of Practice Note 15
|
Whether the remaining group could meet the minimum market capitalisation requirement under Main Board Rule 8.09(2)
|
LD74-1
|
10/2009
(11/2023)
|
Rules 4.03, 4.08, 4.11, 14.69(6)(a)(i)
|
Whether the Exchange would grant a waiver to Company A from the requirements for the accountants' report on the Target Business (marked-up version issued in November 2022)
|
| LD16-2011 |
07/2011
(08/2023)
|
Rules 14A.36, 14A.39, 14A.46 14A.92(1)
|
Whether the Exchange would waive certain connected transaction requirements for the possible issue of new A shares by Company X to its connected persons under a proposed public offer in the Mainland (Withdrawn in August 2023)
|
LD52-2013
|
03/2013
(08/2023)
|
Main Board Rules 2.04, 4.01(1), 7.14, 7.15, 8.06, 8.08 (1)(b), 8.08(3), 19A.13A,19A.18(1) and paragraph 37 of Appendix 1A
|
(i) Whether Company A's listing by way of introduction would be acceptable
(ii) Whether Company A's requested waivers would be granted (marked-up version issued in August 2023)
|
| LD27-2012 |
03/2012
(01/2022) |
Main Board Chapters 19 and 19C, Appendix 3; GEM Chapter 24 and Appendix 3 |
The basis for accepting Company X’s incorporation in the State of Maryland, USA under Chapter 19 of the Main Board Rules (marked-up version issued in January 2022) |
| LD43-3 |
Q1/2005
(01/2022)
|
Rules 1.01 and 8.04 |
Whether, in view of the fact that, in the conduct of its business in the PRC, Company A was a party to a number of contract-based structures (“Contractual Arrangements” or “Structured Contracts”) between or among Company A, the PRC Subsidiaries, the OPCOs and the Registered Owners, Company A was unsuitable for listing due to legal questions associated with the Contractual Arrangements? (marked-up version issued in January 2022) |
| LD99-3 |
07/2010
(01/2022)
|
Rules 2.03(4), 14A.36, paragraph 4(3) of Appendix 3 |
Whether certain special rights available only to the Investor under the convertibles bonds would comply with the general principles in Rule 2.03(marked-up version in January 2022) |
| LD28-2012 |
03/2012
(01/2022) |
Rule 14.67(6)(a)(I) |
Whether the Exchange would grant a waiver to Company A from the requirements for an accountants' report on the Target in the circular (marked-up version in January 2022)
|
| LD93-2016 |
03/2016
(01/2022)
|
Main Board Rules 8.04, 8.05(1)(a) and Paragraph 3(c) of Practice Note 15 |
Whether the Company A (excluding its interest in Newco) could rely on the unrealised fair value gains on investment properties to meet the profit requirement under Rule 8.05(1)(a) (marked-up version issued in January 2022) |
| LD109-2017 |
06/2017
(10/2019)
|
Main Board Rule 14.06B |
Whether Company A would be required to aggregate the proposed acquisition with a previous acquisition, and whether these acquisitions would constitute a reverse takeover (marked-up version issued in October 2019) |
| LD68-2013 |
05/2013
(10/2019)
|
Main Board Rules 14.58(2), 14.60(1), 14.60(2)
|
Whether the Exchange would waive certain specific disclosure requirements for the announcement of a discloseable transaction (marked-up version issued in October 2019) |
| LD61-2013 |
04/2013
(10/2019) |
Main Board Rule 14.20, 14A.80
|
Whether the Exchange would accept Company A's proposed alternative revenue ratio for classifying transactions under Chapters 14 and 14A (marked-up version issued in October 2019) |
| LD60-2013 |
04/2013
(10/2019) |
Main Board Rule 14A.80
|
Whether the Exchange would accept Company A's proposed alternative revenue ratio for classifying certain continuing connected transactions with Company B (marked-up version issued in October 2019) |
| LD44-2013 |
01/2013
(10/2019)
|
Main Board Rules 14.06B and 18.03(1)
|
Whether the Target had the right to participate actively in the exploration for and/or extraction of natural resources (marked-up version issued in October 2019) |
| LD21-2011 |
11/2011
(10/2019)
|
Rule 14.20 |
Whether the Exchange would accept Company A's proposed alternative size tests to classify its disposal of interest in the Target as a discloseable transaction instead of a very substantial disposal (marked-up version issued in October 2019) |
| LD20-2011 |
11/2011
(10/2019)
|
Rule 14.20 |
Whether the Exchange would disregard the consideration ratio for Company A's disposal of interest in the Target under the offer and classify it as a major transaction instead of a very substantial disposal (marked-up version issued in October 2019) |
| LD93-4 |
06/2010
(10/2019)
|
Main Board Rules 2.03, 2.04, 14. 94
|
Whether the Exchange would impose additional requirements under Rule 2.04 on Company A's proposed distribution in specie of Subsidiary B's shares (marked-up version issued in October 2019) |
| LD76-1 |
10/2009
(10/2019)
|
Rules 14A.06, 14A.25, 14A.87(1), 14A.88
|
Whether the deposits placed by Company A or its subsidiary with the Banks were connected transactions subject to Chapter 14A of the Listing Rules
(marked-up version issued in October 2019)
|
| LD62-4 |
11/2008
(10/2019)
|
Rule 14.20, 14A.80
|
Whether the Exchange would disregard the calculation of revenue ratio in respect of the proposed Transaction as requested by Company A and accept the alternative size tests submitted by Company A under Main Board Listing Rule 14.20 and 14A.80 (marked-up version issued in October 2019) |
| LD62-2 |
11/2008
(10/2019)
|
Rule 14.20 |
Whether the Exchange would disregard the calculation of percentage ratios in respect of the Transaction upon Company A's request and accept the alternative size tests submitted by Company A under Main Board Listing Rule 14.20 (marked-up version issued in October 2019) |
| LD62-1 |
11/2008
(10/2019)
|
Rule 14.20 |
Whether the Exchange would disregard the calculation of consideration ratio in respect of the Capital Contribution as requested by the Parent and accept the alternative size test submitted by the Parent under Main Board Listing Rule 14.20 (marked-up version issued in October 2019) |
| LD47-5 |
07/2005
(10/2019)
|
Rules 8.08(2), 8.08(3) |
Whether the requirements for public float and free float under Listing Rules 8.08(2) and 8.08(3) could be satisfied based on an estimate of the number of shareholders and shareholder groupings at the time of listing (marked-up version issued in October 2019) |
| LD112-1 |
11/2010
(03/2019)
|
Rule 14.49 |
Whether Company A's proposal to seek a prior mandate from its shareholders for selling the Target's shares would meet the requirement of Rule 14.49 (marked-up version issued in March 2019) |
| LD6-2011 |
03/2011
(03/2019) |
Rule 14.40 |
Whether the Exchange would accept a prior mandate in lieu of a shareholders' approval on the terms of the agreement for the following transactions:
(1) Company A's proposed acquisition of a piece of land through public tender
(2) Company B's proposed disposal of a property
(marked-up version issued in March 2019)
|
| LD87-2015 |
05/2015
(08/2018)
|
Main Board Rules 6.05 to 6.07 and Paragraph 4 of Practice Note 11 |
Whether the Exchange would direct the resumption of trading in Company A’s shares under Rule 6.07 (marked-up version issued in August 2018) |
| LD77-2 |
10/2009
(08/2018)
|
Main Board Rules 6.07, 6.08 |
Whether the Exchange would exercise its power to direct resumption of trading in Company X’s H shares under Rule 6.07 (marked-up version issued in August 2018) |
| LD103-2016 |
12/2016
(07/2018) |
Main Board Rules 2.03, 2A.03, 13.64, 13.64A and 13.52B(1) |
Whether the Exchange would approve a share subdivision proposed by Company A (marked- up version issued in July 2018) |
| LD70-2013 |
05/2013
(07/2018)
|
Main Board Rules 7.21(1)(a) and 7.21(3)(a) |
Whether Company A’s arrangements to dispose of the excess rights shares would comply with Rules 7.21(1)(a) and 7.21(3)(a) (marked- up version issued in July 2018) |
| LD75-2013 |
07/2013
(02/2018) |
Main Board Rule 9.03(3) and GEM Rules 12.09 and 12.14 |
To provide guidance on why the Exchange returned certain listing applications (marked-up version issued in February 2018) |
| LD85-2015 |
01/2015
(11/2016) |
Main Board Rule 10.07(1) |
Whether Company B, which will cease to be a controlling shareholder of Company A shortly after listing, should be subject to a 12-month lock-up of its shares after Company A's listing under Listing Rule 10.07(1) (marked-up version issued in November 2016) |
| LD91-2015 |
06/2015
(05/2016) |
Main Board Rule 9.03(3) and GEM Rules 12.09 and 12.14 |
To provide guidance on why the Exchange returned certain listing applications (marked-up version issued in May 2016) |
| LD84-2014 |
02/2014
(05/2016) |
Main Board Rule 9.03(3) and GEM Rules 12.09 and 12.14 |
To provide guidance on why the Exchange returned certain listing applications (marked-up version issued in May 2016) |
| LD48-2013 |
01/2013
(05/2016) |
Main Board Rule 9.03(3) and GEM Rules 12.09 and 12.14 |
To provide guidance on why the Exchange returned certain listing applications (marked-up version issued in May 2016) |
| LD101-2 |
08/2010
(04/2015) |
Rule 8.08(1)(a) |
Whether the Exchange would waive the public float requirement for Company A (marked-up version issued in April 2015) |
| LD8-3 |
12/1999
(04/2015) |
Rules 14.44, 14.45 |
Major transaction - whether two shareholders of Company A, who had been partners in a project, could be viewed as a "closely allied group of shareholders' for the purpose of providing a written certificate in lieu of a resolution passed at a shareholders' meeting (marked-up version issued in April 2015) |
| LD78-2014 |
01/2014
(07/2014) |
Main Board Rules 14A.19, 14A.26, 14A.27 |
Whether the guarantee provided by Company A for a loan facility granted to the Borrower was subject to the connected transaction requirements (marked-up version issued in July 2014) |
| LD63-2013 |
04/2013
(07/2014) |
Main Board Rule 14A.103 |
Whether the Exchange would waive the annual review and reporting requirements for a continuing connected transaction between Company A and Company B (marked-up version issued in July 2014) |
| LD22-2011 |
12/2011
(07/2014) |
Rules 1.01, 8.24,14A.07 |
Whether the Manager was a core connected person or connected person of Company A because it held shares in company A for its client (marked-up version issued in July 2014) |
| LD16-2011 |
07/2011
(07/2014) |
Rules 14A.36, 14A.39, 14A.46, 14A.92(1) |
Whether the Exchange would waive certain connected transaction requirements for the possible issue of new A shares by Company X to its connected persons under a proposed public offer in the Mainland (marked-up version issued in July 2014) |
| LD14-2011 |
06/2011
(07/2014) |
Rule 14A.81, 14A.82, 14A.83 |
Whether the Exchange required aggregation of the agreements between Company A and the Parent Company for (i) the Parent Group contracting out certain system works to Company A; and (ii) Company A sub-contracting some of the works back to the Parent Group (marked-up version issued in July 2014) |
| LD13-2011 |
06/2011
(07/2014) |
Rule 14A.81, 14A.82, 14A.83 |
Whether the Exchange required aggregation of Company A’s construction contracts with each of Companies C and D (marked-up version issued in July 2014) |
| LD93-3 |
06/2010
(07/2014) |
Rules 14.62, 14.66(2), 14A.68(7), Paragraph 29(2) of Appendix 1B |
Whether the Exchange would waive the profit forecast requirements under the Rules regarding a valuation report on the Target in Company A’s announcement and circular (marked-up version issued in July 2014) |
| LD82-1 |
12/2009
(07/2014) |
Rule 14A.51 |
Whether the Exchange would grant Company X a waiver and not require written agreements for the continuing connected transactions with the Partners (marked-up version issued in July 2014) |
| LD81-2 |
12/2009
(07/2014) |
Rules 2.15, 14A.36 |
Whether Company B had a material interest in Company X’s proposed acquisitions of Target from Company A and the Minority Shareholders (marked-up version issued in July 2014) |
| LD81-1 |
12/2009
(07/2014) |
Rules 2.15, 14A.36 |
Whether Company B had a material interest in Company X’s proposed acquisition of Company A’s 80% interest in the Target (marked-up version issued in July 2014) |
| LD76-3 |
10/2009
(07/2014) |
Rules 14A.81, 14A.82, 14A.83 |
Whether Company X would be required to aggregate the transactions with Company A and Company B and treat them as if they were one transaction under Rule 14A.81 (marked-up version issued in July 2014) |
| LD76-2 |
10/2009
(07/2014) |
Rules 1.01, 14A.07, 14A.13, 14A.25 |
Whether entering into a management contract for part of the Complex with the Management Company constituted a connected transaction for Company A (marked-up version issued in July 2014) |
| LD75-3 |
10/2009
(07/2014) |
Rules 14.04(1)(a), 14A.92(4) |
1. Whether Company X should apply the percentage ratios to both the Placing and the Top-up Subscription to determine the transaction classification under Chapter 14 of the Listing Rules 2. Whether the Exchange would grant a waiver to Company X from the major transaction requirements in respect of the Placing and the Top-up Subscription (marked-up version issued in July 2014) |
| LD74-3 |
10/2009
(07/2014) |
Rules 14.69(4)(a)(i), 14.71, 14A.70(9) |
1. Whether the Exchange would grant a waiver to Company A from strict compliance with Rule 14.69(4)(a)(i) in respect of the accountants’ report on the business being acquired under the proposed Merger. 2. Whether Rules 14.71 and 14A.70(9) would apply to the proposed Merger (marked-up version issued in July 2014) |
| LD73-2 |
10/2009
(07/2014) |
Rules 2.15, 14.46, 14A.36 |
Whether each of the Relevant Shareholders had a material interest in Company X’s proposed privatization of the Subsidiary and must abstain from voting on the resolution to approve the proposal at the general meeting of Company X (marked-up version issued in July 2014) |
| LD73-1 |
10/2009
(07/2014) |
Rules 2.15, 14.49 |
Whether Mr. X and Mr. Y each had a material interest in the Proposed Acquisition and was required to abstain from voting on the resolution to approve the Proposed Acquisition at the general meeting of Company A under Rules 2.15 and 14.49 (marked-up version issued in July 2014) |
| LD64-4 |
11/2008
(07/2014) |
Rules 14A.81, 14A.82, 14A.83 |
Whether Company A would be required to aggregate the proposed Transactions under Main Board Listing Rule 14A.81 (marked-up version issued in July 2014) |
| LD64-3 |
11/2008
(07/2014) |
Rules 14A.81, 14A.82, 14A.83 |
Whether Company A would be required to aggregate the Transactions and treat them as if they were one transaction under Main Board Listing Rule 14A.81 (marked-up version issued in July 2014) |
| LD63-5 |
11/2008
(07/2014) |
Rules 14A.19, 14A.20 |
Whether the Exchange would exercise its power to deem the REIT as a connected person of Company A in respect of the Company Transaction (marked-up version issued in July 2014) |
| LD63-3 |
11/2008
(07/2014) |
Rules 14A.19, 14A.20 |
Whether the Purchaser would be regarded as a connected person of Company A in respect of Transaction A (marked-up version issued in July 2014) |
| LD63-2 |
11/2008
(07/2014) |
Rules 1.01, 2.04, 14A.07 |
Whether Parent Shareholders were connected persons of Company A under the Listing Rules by virtue of their substantial interests in Parent Company, and if not, whether the Exchange would deem the Parent Shareholders to be connected persons of Company A (marked-up version issued in July 2014) |
| LD63-1 |
11/2008
(07/2014) |
Rules 1.01, 2.04, 14A.07 |
Whether the Exchange would deem the Purchaser as a connected person of Company A upon completion of the Transaction under Main Board Listing Rule 2.04 (marked-up version issued in July 2014) |
| LD94-1 |
06/2010
(04/2014) |
Rule 4.10 and Rule 2.13(2) |
Whether to grant a Rule 4.10 waiver to banking companies incorporated in Mainland China (marked-up version issued in April 2014) |
| LD70-1 |
07/2009
(04/2014) |
Rules 4.03, 19.14, 19.20, Paragraph 2 of Appendix 16 |
Whether to permit certain Singaporean auditors to act as the reporting accountants in Company A’s initial listing and as its auditors after listing. Whether to accept Singapore Financial Reporting Standards ('SFRS') for preparing the accountants’ report in Company A’s listing document and subsequent financial reports in Hong Kong (marked-up version issued in April 2014) |