LD138-2022
|
09/2022
(01/2024)
|
Main Board Rules 8.04, 8A.04 and 19C.02
|
To provide guidance on why the Exchange considered certain proposed applicants have not demonstrated their suitability to list with a WVR structure (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD135-2022
|
05/2022
(01/2024)
|
Main Board Rule 18A.01
|
Whether Product X (being one of Company A’s Core Products) which completed the Phase 1 clinical trials under the Therapeutic Goods Administration in Australia and subsequently obtained approval from both the European Medicines Agency and the National Medical Products Administration to commence the global pivotal Phase 2/3 clinical trial satisfies the relevant core product eligibility requirements under GL92-18 and Chapter 18A of the Main Board Rules (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD134-2022
|
05/2022
(01/2024)
|
Main Board Rule 8.04
|
Whether Company X is suitable for listing in light of (a) the prolonged deterioration of financial performance of its Core Businesses; (b) the limited track record of its new services and temporary business improvement; and (c) the failure to prove its business improvement plans (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD133-2022
|
05/2022
(01/2024)
|
Main Board Rule 8.04
|
Whether Company X is suitable for listing in light of the material reliance on Dr. A (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD132-2022
|
05/2022
(01/2024)
|
Main Board Rules 3.08 and 3.09
|
Whether each of Mr. A and Mr. B is suitable to act as a director of an issuer in light of bribery incidents (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD127-2020
|
06/2020
(01/2024)
|
Main Board Rule 9.03(3)
GEM Rules 12.09 and 12.14
|
To provide guidance on why the Exchange returned certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD126-2020
|
06/2020
(01/2024)
|
Main Board Rule 2.06 and Chapter 8
GEM Rule 2.09 and Chapter 11
|
To provide guidance on why the Exchange rejected certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD121-2019
|
03/2019
(01/2024)
|
Main Board Rule 2.06 and Chapter 8
GEM Rule 2.09 and Chapter 11
|
To provide guidance on why the Exchange rejected certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD120-2018
|
03/2018
(01/2024)
|
Main Board Rule 9.03(3)
GEM Rules 12.09 and 12.14
|
To provide guidance on why the Exchange returned certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD119-2018
|
03/2018
(01/2024)
|
GEM Rule 2.09
GEM Chapter 11
|
To provide guidance on why the Exchange rejected certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD107-2017
|
05/2017
(01/2024)
|
Main Board Rule 2.06 and Chapter 8
GEM Rule 2.09 and Chapter 11
|
To provide guidance on why the Exchange rejected certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD106-2017
|
05/2017
(01/2024)
|
Main Board Rule 9.03(3)
GEM Rules 12.09 and 12.14
|
To provide guidance on why the Exchange returned certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD101-2016
|
04/2016
(01/2024)
|
Main Board Rule 9.03(3)
GEM Rules 12.09 and 12.14
|
To provide guidance on why the Exchange returned certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD100-2016
|
04/2016
(01/2024)
|
Main Board Rule 2.06 and Chapter 8
GEM Rule 2.09 and Chapter 11
|
To provide guidance on why the Exchange rejected certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD92-2015
|
06/2015
(01/2024)
|
Main Board Rule 2.06 and Chapter 8
GEM Rule 2.09 and Chapter 11
|
To provide guidance on why the Exchange rejected certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD91-2015
|
06/2015
(01/2024)
|
Main Board Rule 9.03(3)
GEM Rules 12.09 and 12.14
|
To provide guidance on why the Exchange returned certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD85-2015
|
01/2015
(01/2024)
|
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) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD84-2014
|
02/2014
(01/2024)
|
Main Board Rule 9.03(3)
GEM Rules 12.09 and 12.14
|
To provide guidance on why the Exchange returned certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD75-2013
|
07/2013
(01/2024)
|
Main Board Rule 9.03(3)
GEM Rules 12.09 and 12.14
|
To provide guidance on why the Exchange returned certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD52-2013
|
03/2013
(01/2024)
|
Main Board Rules 2.04, 4.01(1), 7.14, 7.15, 8.06, 8.08(1)(b), 8.08(3), 19A.13A and 19A.18(1)
Paragraph 37 of Main Board Appendix D1A
|
(i) Whether Company A’s listing by way of introduction would be acceptable
(ii) Whether Company A’s requested waivers would be granted (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD48-2013
|
01/2013
(01/2024)
|
Main Board Rule 9.03(3)
GEM Rules 12.09 and 12.14
|
To provide guidance on why the Exchange returned certain listing applications (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD33-2012
|
07/2012
(01/2024)
|
Main Board Rules 11.07 and 2.13(2)
GEM Rules 14.08(7) and 17.56(2)
|
Disclosure requirements for two applicants engaged in the pawn loan business in the People’s Republic of China (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD15-2011
|
07/2011
(01/2024)
|
Main Board Rules 2.03(2) and (4)
|
Whether the Interim Guidance on Pre-IPO Investments applied to an issue of shares upon exercise of warrants which formed an integral part of a loan agreement between the warrant holder and Company A (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD12-2011
|
06/2011
(01/2024)
|
Main Board Rule 2.03
Interim Guidance on Pre-IPO Investments issued on 13 October 2010
|
Whether the Interim Guidance on Pre-IPO Investments applied to Company A’s proposed issue of securities to independent investors (Withdrawn in January 2024)
|
LD88-1
|
05/2010
(01/2024)
|
Main Board Rules 14A.35(1) and (2)
|
Whether to allow a continuing connected transaction to exceed three years with an annual cap expressed as a percentage of Company A’s gross revenues (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD87-1 |
12/2009
(01/2024)
|
Main Board Rule 8.04
|
Whether to allow Parentco to complete Company A's reorganisation immediately after listing (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD79-1 |
10/2009
(01/2024)
|
Main Board Rules 10.07(1)(b) and 10.08
Listing Decision HKEX-LD41-3
Listing Decision HKEX-LD68-1
|
Whether to waive Rule 10.07(1)(b) to allow dilution of Parentco's interest in Company A from conversion of convertible bonds issued by Company A (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD68-1 |
07/2009
(01/2024)
|
Main Board Rule 10.08
Listing Decision HKEX-LD41-3
|
Whether Company A could issue further shares within six months of its listing on the Exchange (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD60-2 |
05/2008
(01/2024)
|
Paragraphs 4.1 and 4.2 of Main Board Practice Note 18
Typical PN18 Waiver described in HKEX-LD60-1
|
Under what circumstances would the Exchange consider modifying the minimum public subscription requirement under Practice Note 18 of the Listing Rules in an IPO (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD60-1 |
05/2008
(01/2024)
|
Paragraphs 4.1 and 4.2 of Main Board Practice Note 18
|
Under what circumstances would the Exchange consider modifying the minimum public subscription requirement under Practice Note 18 of the Listing Rules in an IPO (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD54-2 |
06/2006
(01/2024)
|
Main Board Rule 8.05(1)(b)
Paragraph 2 of Main Board Practice Note 3
|
Whether the requirement of management continuity under Listing Rule 8.05(1)(b) and Paragraph 2 of Practice Note 3 could be satisfied where the management function was largely vested in one dominant director throughout the track record period (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD54-1 |
06/2006
(01/2024)
|
Main Board Rule 8.05(1)(b)
Paragraph 2 of Main Board Practice Note 3
|
Whether and how the requirement of management continuity under Listing Rule 8.05(1)(b) and Paragraph 2 of Practice Note 3 could be satisfied in a case where the listing applicant is a group comprising a number of subsidiaries (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD52-5 |
03/2006
(01/2024)
|
Main Board Rules 3A.07, 8.08(1)(a) and 8.24
|
Whether, in a case where Associate subscribed for not more than 2% of the enlarged share capital of Company A through conversion of convertible notes shortly prior to listing at a conversion price discounted to the IPO price which is subject to adjustment based on a guaranteed profit clause
- Sponsor could continue to act as a sponsor in the listing application of Company A; and
- the shares held by Associate could be counted as part of the public float as required under Listing Rule 8.08(1)(a) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD52-4 |
03/2006
(01/2024)
|
Main Board Rules 8.24 and 10.07(1)(a)
|
Whether the shares of Company A issued to a pre-IPO investor should be subject to a compulsory lock-up and be counted towards part of the public float where (a) the shares were converted shortly before listing from convertible notes subscribed by such investor in the prior year period; and (b) the effective subscription cost of the shares was at a deep discount to the proposed offer price of the shares (Withdrawn in January 2024)
|
| LD52-3 |
03/2006
(01/2024)
|
Main Board Rules 8.08(1)(a) and 8.24
|
Whether shares of Company A subscribed by its employees and the employees of its parent company shortly prior to listing at a price discounted to the proposed IPO price should be subject to compulsory lock-up and treated as part of the public float (Withdrawn in January 2024)
|
| LD51-5 |
03/2006
(01/2024)
|
GEM Rule 11.12
|
Whether the requirements for substantially the same management and ownership throughout the active business pursuit period under GEM Listing Rule 11.12 were satisfied by aggregating the shareholding interests and control of a group of individual shareholders (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD51-4 |
03/2006
(01/2024)
|
Main Board Rule 8.05(1)(c)
|
Whether the requirement for ownership continuity and control for at least the most recent audited financial year under Listing Rule 8.05(1)(c) could be satisfied in light of the changes in the shareholding interests held by two separate groups of controlling shareholders during the last financial year of the track record period (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD48-4 |
12/2005
(01/2024)
|
Main Board Rule 9.11(35)(b)
Paragraph 11 of Main Board Appendix F1
|
Whether, and under what circumstances, the Exchange should allow a new listing applicant to dispense with the filing of placee lists with respect to its IPO shares sold in public offers outside Hong Kong (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD48-3 |
12/2005
(01/2024)
|
Main Board Rule 8.05(1)(c)
|
Whether the requirements for ownership continuity and control under Listing Rule 8.05(1)(c) were satisfied where the controlling shareholder disposed of his shareholdings to a discretionary trust benefiting members of the shareholder's family (other than himself) after the track record period (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD47-5 |
07/2005
(01/2024)
|
Main Board Rules 8.08(2) and 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 (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD47-4 |
07/2005
(01/2024)
|
Main Board Rules 10.07 and 10.08
|
Whether the issue of shares in Company A upon conversion of convertible notes issued by Company A prior to listing on the Exchange should be regarded as a deemed disposal of interest prohibited under Listing Rules 10.07 and 10.08, where such conversion would occur upon or shortly after listing and at a price identical to the IPO price (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD47-1 |
07/2005
(01/2024)
|
Main Board Rules 8.05(2)(b) and 8.05(2)(c)
|
Whether the requirements for ownership and management continuity could be satisfied absent a single legal structure amongst separate groups of entities in the track record period that made up Company A at the time of listing (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD45-1 |
Q1/2005
(01/2024)
|
Main Board Rule 8.05(1)(b)
Paragraph 2 of Main Board Practice Note 3 |
Whether the requirement for management continuity under Listing Rule 8.05(1)(b) and Paragraph 2 of Practice Note 3 could be satisfied when only one director had remained on the board of directors throughout the three financial year track record period up to the time of listing (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD44-4 |
Q1/2005
(01/2024)
|
Main Board Rule 8.05(1)(c)
|
Whether the requirement for ownership continuity and control for at least the most recent audited financial year under Listing Rule 8.05(1)(c) could be satisfied by aggregating the shareholding interests and control of a group of individual shareholders (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD44-2 |
Q1/2005
(01/2024)
|
Main Board Rules 10.03 and 10.04
Paragraphs 5 and 13 of Main Board Appendix F1
|
Whether Shareholder X could purchase shares pursuant to an anti-dilution provision where it was also a connected client of one of the distributors of the shares in the initial public offering of Company A (Withdrawn in January 2024)
|
| LD43-3 |
Q1/2005
(01/2024)
|
Main Board 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”) 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 (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD43-1 |
Q1/2005
(01/2024)
|
Main Board Rule 8.08(1)(a) and 8.08(1)(d); and Note (2)(b) to Main Board Rule 8.08
|
Whether in a case where Parentco had a public float approaching 50% of its equity capital, it was appropriate to grant a permanent waiver to Company A in respect of the minimum public float requirement of 25% (Withdrawn in January 2024)
|
| LD42-4 |
12/2004
(01/2024)
|
Main Board Rule 8.05(1)(c)
|
Whether the requirements for ownership continuity and control under Rule 8.05(1)(c) were satisfied when the controlling shareholder held a large part of its shareholding interests in Subsidiary X (over 45% thereof) through a trust arrangement in the most recent audited financial year in the track record period (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD41-1 |
11/2004
(01/2024)
|
Main Board Rules 2.13, 8.04, 8.05(1)(c) and 11.07
|
In view of there being a material disparity between the IPO price of the shares of Company A and the effective cost to the pre-IPO shareholders of Company A of the shares acquired by them in transactions shortly prior to listing:-
a. What would be the applicable standard of review when examining the legality of those transactions
b. What disclosure was required in the prospectus (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD36-3 |
10/2003
(01/2024)
|
General Principles
|
Whether an offer size adjustment option is allowed for purposes other than stabilization (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD33-1 |
02/2003
(01/2024)
|
Main Board Rule 9.11(35)(b)
Paragraph 11 of Main Board Appendix F1
|
IPO – shares being placed to investment funds – extent of information to be disclosed (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD26-3 |
06/2001
(01/2024)
|
General Principles
|
Over-allotment option in initial public offering – whether it could exceed 15% of total number of shares initially available (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
| LD4-2 |
07/1999
(01/2024)
|
General Principles On Land Title Requirements For PRC Mainland Properties
|
Whether construction permits are acceptable in lieu of long-term land use right certificates for properties on the PRC mainland used for Company A's infrastructure projects (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
LD122-2019
|
07/2019
(01/2024)
|
Main Board Rules 2.04, 14.06B and 14.54
|
Whether the Exchange would impose additional requirements under Rule 2.04 on Company A’s proposed termination of a lease agreement relating to its original entertainment business (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
| LD75-2 |
10/2009
(01/2024)
|
Main Board Rule 14.06B
|
Whether the proposed acquisition of the Target by Company A constituted a reverse takeover (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
| LD95-4 |
07/2010
(01/2024)
|
Main Board Rule 14.06B
|
Whether Company A's proposed acquisition constituted a reverse takeover under Rule 14.06B (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
LD57-2013
|
04/2013
(01/2024)
|
Main Board Rules 8.05(1), 14.06B and 14.54
|
Whether Company A's proposed acquisition of an interest in the Target was a reverse takeover (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules)) |
LD94-2016
|
03/2016
(01/2024)
|
Main Board Rule 14.06B
|
Whether Company A's proposed subscription of an interest in the Fund would be a reverse takeover (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
LD95-2016
|
03/2016
(01/2024)
|
Main Board Rule 14.06B
|
Whether Company A's proposed acquisition of an interest in the Target from Mr. B would be a reverse takeover (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
LD96-2016
|
03/2016
(01/2024)
|
Main Board Rule 14.06B
|
Whether Company A's proposed acquisition of the Target would be a reverse takeover (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
| LD108-2017 |
06/2017
(01/2024)
|
Main Board Rule 14.06B
|
Whether Company A's proposed acquisition of the Target constituted a reverse takeover or an extreme VSA (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules)) |
| LD136-2022 |
06/2022
(01/2024)
|
Main Board Rule 14.06B
|
The Exchange ruled the proposed acquisition to be a reverse takeover (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
| LD130-2021 |
07/2021
(01/2024)
|
Main Board Rules 14.06B and 14.06C
|
Whether Company A's proposed acquisition of the Target Company constituted a reverse takeover (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
LD95-3
|
07/2010
(01/2024)
|
Main Board Rules 14.06B, 28.05
|
Whether the Exchange would consent to Company A's proposed change in the terms of its convertible notes issued to the Vendor (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
LD131-2021
|
07/2021
(01/2024)
|
Main Board Rule 14.06B
|
Whether the Exchange would waive Rule 14.06B so that the proposed acquisition of the Target Company by Company A would not be classified as a reverse takeover (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
LD41-2013
|
01/2013
(01/2024)
|
Main Board Rules 14.06B and 18.03(2)
|
Whether the Target had a portfolio of natural resources that was meaningful and of sufficient substance to justify a listing (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
LD39-2013
|
01/2013
(01/2024)
|
Main Board Rules 14.06B and 18.03(2)
|
Whether the Target had a portfolio of natural resources that was meaningful and of sufficient substance to justify a listing (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules))
|
LD123-2019
|
07/2019
(01/2024)
|
Main Board Rules 2.04 and 6.01(4)
|
Whether the Exchange would impose additional requirements under Rule 2.04 on Company A’s proposed continuing connected transaction with Company B (Streamlined and incorporated into the guidance letter GL104-19 (Guidance on application of the reverse takeover Rules)) |
LD115-2017
|
11/2017
(01/2024)
|
Main Board Rules 6.01(3), 6.10 and 13.24
|
Whether Company A had a sufficient level of operations or sufficient assets to meet Main Board Rule 13.24 (Streamlined and incorporated into the guidance letter GL106-19 (Guidance on sufficiency of operations)) |
LD116-2017
|
11/2017
(01/2024)
|
Main Board Rules 6.01(3), 6.10 and 13.24
|
Whether Company A had a sufficient level of operations or sufficient assets to meet Main Board Rule 13.24 (Streamlined and incorporated into the guidance letter GL106-19 (Guidance on sufficiency of operations))
|
LD105-2017
|
04/2017
(01/2024)
|
GEM Rules 9.04 and 17.26
|
Whether Company A has a sufficient level of operations or assets to meet GEM Rule 17.26 (Streamlined and incorporated into the guidance letter GL106-19 (Guidance on sufficiency of operations))
|
LD118-2018
|
03/2018
(01/2024)
|
Main Board Rules 6.01(3), 6.10 and 13.24
|
Whether Company A had a sufficient level of operations or sufficient assets to meet Main Board Rule 13.24 (Streamlined and incorporated into the guidance letter GL106-19 (Guidance on sufficiency of operations))
|
LD97-2016
|
03/2016
(01/2024)
|
Main Board Rule 13.24
|
Whether Company A would have sufficient operations or assets under Rule 13.24 after the disposal (Streamlined and incorporated into the guidance letter GL106-19 (Guidance on sufficiency of operations)) |
LD98-2016
|
03/2016
(01/2024)
|
Main Board Rule 13.24
|
Whether Company A would have sufficient operations or assets under Rule 13.24 after the disposal (Streamlined and incorporated into the guidance letter GL106-19 (Guidance on sufficiency of operations))
|
LD99-2016
|
03/2016
(01/2024)
|
Main Board Rule 13.24
|
Whether Company A would have sufficient operations or assets under Rule 13.24 after the disposal (Streamlined and incorporated into the guidance letter GL106-19 (Guidance on sufficiency of operations))
|
LD112-2017
|
10/2017
(01/2024)
|
Main Board Rule 13.24
|
Whether Company A would have sufficient operations or assets under Rule 13.24 after a proposed major disposal (Streamlined and incorporated into the guidance letter GL106-19 (Guidance on sufficiency of operations))
|
LD72-1
|
09/2009
(01/2024)
|
Main Board Rule 3.28
|
Whether Mr X qualified to act as Company A's secretary (Streamlined and incorporated into the guidance letter GL108-20 (Experience and qualification of a company secretary))
|
LD72-2
|
09/2009
(01/2024)
|
Main Board Rule 3.28 |
Whether Mr X qualified to act as Company A's secretary (Streamlined and incorporated into the guidance letter GL108-20 (Experience and qualification of a company secretary))
|
LD46-2013
|
01/2013
(01/2024)
|
Main Board Rule 3.28
|
Whether Mr. X qualified to act as Company A's secretary (Streamlined and incorporated into the guidance letter GL108-20 (Experience and qualification of a company secretary)) |
LD56-1
|
09/2006
(01/2024)
|
Rules 2.03(2) and (4), 2.13, 2A.05, 11.07, 13.09(1), Paragraph 3 of Appendix 5C1
|
Whether and under what circumstances could the domestic shares of Company X held by Company Y be listed on the Exchange as H shares and sold in the open market (Withdrawn and superseded by FAQ No. 137-2023 issued in January 2024)
|
LD35-2012
|
07/2012
(01/2024)
|
Main Board Rule 13.24
|
Whether Company A would have sufficient operations or assets under Rule 13.24 after the Proposed Transactions (Withdrawn in January 2024)
|
LD88-2015
|
05/2015
(01/2024)
|
Main Board Rule 13.24
|
Whether Company A would have sufficient operations or assets under Rule 13.24 after a very substantial disposal (Withdrawn in January 2024)
|
LD89-2015
|
05/2015
(01/2024)
|
Main Board Rules 15.01 and 17.01
|
Whether Company A's proposed issue of warrants to certain members of senior management was subject to the requirements of Chapter 17 (Withdrawn in January 2024)
|
LD109-2017
|
06/2017
(01/2024)
|
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 (Withdrawn in January 2024)
|
LD113-2017
|
10/2017
(01/2024)
|
Main Board Rules 2.04, 14.06B and 14.54
|
Whether the Exchange would impose additional requirements under Rule 2.04 on Company A's proposed disposal of its original business (Withdrawn in January 2024)
|
LD29-2012
|
03/2012
(01/2024)
|
Note 2(b) to Main Board Rule 14.06B
|
Whether Company A's proposed acquisition of the Target from Company B was a reverse takeover (Withdrawn in January 2024)
|
LD58-2013
|
04/2013
(01/2024)
|
Main Board Rule 14.06B
|
Whether the Exchange would waive 14.06B so that Company A's proposed acquisition of the Target would not be classified as a reverse takeover (Withdrawn in January 2024) |
LD59-2013
|
04/2013
(01/2024)
|
Note 2(a) to Main Board Rule 14.06B
|
Whether the Exchange would waive Note 2(a) to Rule 14.06B so that Company A's proposed acquisition of certain assets from Mr. X would be classified as a very substantial acquisition rather than a reverse takeover (Withdrawn in January 2024)
|
LD43-2013
|
01/2013
(01/2024)
|
Main Board Rules 14.06B, 18.04 and 18.07
|
Whether the Target had a clear path to commercial production (Withdrawn in January 2024)
|
LD44-2013
|
01/2013
(01/2024)
|
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 (Withdrawn in January 2024)
|
LD114-1
|
12/2010
(01/2024)
|
Rule 19.20(2)
|
Whether the Exchange would accept the Firm to act as Company A's auditors after listing under Rule 19.20(2) (Withdrawn in January 2024)
|
LD32-1
|
11/2002
(01/2024)
|
Rule 2.13, General Principles For Preparation of Announcements |
Names of Chinese entities (Withdrawn in January 2024)
|
LD32-2
|
11/2002
(01/2024)
|
Rule 2.13, General Principles For Preparation of Announcements
|
Directors' names (Withdrawn in January 2024)
|
LD32-3
|
11/2002
(01/2024)
|
Rule 2.07B
|
Single language corporate communications — on-going arrangement — whether announcement needed to be re-published (Withdrawn in January 2024)
|
LD37-3
|
10/2003
(01/2024)
|
Rules 6.04, 6.10, 13.24, Practice Note 17
|
Submission of resumption proposal immediately prior to expiry of 3rd stage of delisting procedures and viability of resumption proposal (Withdrawn in January 2024)
|
LD49-1
|
03/2006
(01/2024)
|
Rules 2.07(3), 2.07C(2)
|
Whether cosmetic changes and correction of spelling and grammatical errors to the hard copy of an annual report, a soft copy of which had been published on the Exchange's website could be made by Company A (Withdrawn in January 2024) |
LD53-1
|
04/2006
(01/2024)
|
Rule 13.51(2)
|
Whether the details published in an announcement concerning the appointment of an executive director had complied with all the requirements of Listing Rule 13.51(2) (Withdrawn in January 2024)
|
LD75-1
|
10/2009
(01/2024)
|
Main Board Rule 14.06B
|
Whether proposed acquisitions of certain new businesses by Company A would constitute a reverse takeover under Rule 14.06B (Withdrawn in January 2024)
|
LD95-2
|
07/2010
(01/2024)
|
Main Board Rule 14.06B
|
Whether Company A's proposed acquisition constituted a reverse takeover under Rule 14.06B (Withdrawn in January 2024) |
LD95-5
|
07/2010
(01/2024)
|
Note 2(b) to Main Board Rule 14.06B
|
Whether Company A's proposed acquisition of a further interest in the Target from Mr X was a reverse takeover under Note 2(b) to Rule 14.06B (Withdrawn in January 2024)
|
LD9-2011
|
04/2011
(01/2024)
|
Rule 17.03(9) — Note 1
|
Whether the Exchange would waive the requirement on the exercise price of share options for Company A's share option scheme involving issue of new A shares (Withdrawn in January 2024)
|
LD2-1
|
06/1999
(01/2024)
|
Rule 14.15(2)
|
Formation of a joint venture — determining the size of a transaction for the purpose of Chapter 14 (Withdrawn in January 2024) |
LD9-1
|
01/2000
(01/2024)
|
Rule 8.08
|
Whether trading should continue with insufficient shares in public hands following a rights issue (Withdrawn in January 2024)
|
LD13-1
|
05/2000
(01/2024)
|
Paragraph 3(c) of Practice Note 15
|
Need to ascertain whether, after its proposed spin-off of a subsidiary, Company A would continue to have a sufficient level of operations and sufficient assets to support its separate listing status (Withdrawn in January 2024)
|
LD21-1
|
01/2001
(01/2024)
|
Rule 14A.45
|
Whether independent expert's opinion in connected transaction could be waived (Withdrawn in January 2024)
|
LD22-1
|
02/2001
(01/2024)
|
Rule 13.16
|
Whether provisions made against advances to affiliated companies should be taken into account when calculating the percentage of a listed issuer's net assets which is represented by such advances and other forms of financial assistance to affiliated companies (Withdrawn in January 2024)
|
LD23-1
|
03/2001
(01/2024)
|
Rules 13.46(1), 13.47
|
Distribution of annual report and compliance with disclosure requirements relating to annual reports (Withdrawn in January 2024)
|
LD26-1
|
06/2001
(01/2024)
|
Practice Note 17
|
Whether an extension of the timetable under the delisting procedures should be granted (Withdrawn in January 2024) |
LD28-1
|
08/2001
(01/2024)
|
Rule 5.02
|
Major transaction — whether property valuation required (Withdrawn in January 2024)
|
LD29-1
|
09/2001
(01/2024)
|
Rule 10.06, Chapter 14
|
On-market share repurchase — whether notifiable transaction (Withdrawn in January 2024)
|
LD30-1
|
05/2002
(01/2024)
|
General Principles On Independent Financial Adviser
|
Eligibility to act as independent financial adviser (Withdrawn in January 2024)
|
LD3-2
|
07/1999
(01/2024)
|
Practice Note 15
|
Whether the proposal of Company A constituted a spin-off under Practice Note 15 of the Listing Rules (Withdrawn in January 2024)
|
LD12-2
|
04/2000
(01/2024)
|
Note 3 to Rule 13.52, Rule 13.73
|