Expansion of the Paperless Listing Regime

In June 2023, HKEX published consultation conclusions to its consultation paper on the expansion of its paperless listing regime. The revised Listing Rules and related guidance implementing the expanded paperless listing regime will come into effect on 31 December 2023.

To help issuers and their representatives familiarise themselves with the new requirements in a timely manner ahead of this implementation date, we have collated all the relevant materials here on this page.

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Listing Rules and Guidance Materials

Revised Listing Rules (that take effect from 31 December 2023)

	Main Board Listing Rules
	GEM Listing Rules
	Main Board Regulatory Forms
	GEM Regulatory Forms
	Main Board Fees Rules
	GEM Fees Rules

For the latest version of the Listing Rules, please visit the webpage here.

Restructuring of the Appendices to the Listing Rules (that take effect from 31 December 2023)

	Revised structure of the Appendices to the Listing Rules

Revised documentary submission requirements (that take effect from 31 December 2023)

	Summary table setting out modifications to the existing documentary submission requirements under the expanded paperless listing regime

Guidance on digital authorisation of prospectus registration (that takes effect from 1 January 2024)

	Guidance on the electronic submission of prospectus and accompanying documents to the Exchange and the Companies Registry for authorisation and registration

Guide for New Listing Applicants (that takes effect from 1 January 2024)

	The Exchange published a Guide for New Listing Applicants (“Guide”) in November 2023, which consolidated and enhanced our guidance letters and listing decisions related to new listings.

	The Guide will come into effect on 1 January 2024. The new requirements under the expanded paperless listing regime are reflected in the Guide. In particular:

		-	For updated documentary requirements and administrative matters for new listing applications (originally set out under HKEX-GL55-13), please see Chapter 6.3 of the Guide
		-	For updated disclosure requirements in listing documents (information originally required to be provided under Form M104/G104), please see Chapters 3.6, 3.7 and 3.11 of the Guide
	Please visit the webpage for details of the Guide and relevant mapping schedule.

Frequently Asked Questions (that take effect from 31 December 2023)

	Questions Relating to Expansion of Paperless Listing Regime, Mandatory Electronic Dissemination of Corporate Communications and Simplification of Appendices to the Listing Rules

Revised Checklists, Forms and Templates (that take effect from 31 December 2023)

	SE001¹
	M103 (Main Board: Form A1) ¹ (for equity securities) / M103 (Main Board: Form A1) (for debt securities)
	G103 (GEM: Form A) ¹ (for equity securities)
	FF201G (GEM: Form B)¹(for equity securities)
	M104 and G104
	M105 and G105 ²
	M106 and G106 ²
	M107 and G107 ²
	M108 and G108 ²
	M112 and G112 ¹
	M119 and G118 ¹
	M201 and G201 ¹
	CIS002 (Main Board: Form A2) ¹(for collective investment schemes)
	FFD001M (Main Board: Form C1) ¹(for equity securities)
	FFD002M (Main Board: Form C2) (for debt securities)
	FFD004M (Main Board: Form F) (for debt securities)
	FFD007M (Main Board: Form C3) (for collective investment schemes)
	M501 (Main Board: Form C3Z)¹ (for open-ended investment companies, unit trusts, mutual funds and other collective investment schemes governed by Chapter 21 of the Listing Rules)
	FF004 ¹
	FF005 ¹

For the latest version of checklists, forms and templates, please visit the webpage here.


Notes:
1.	These e-Forms will be available for submission through e-Submission System (ESS) from 31 December 2023.
2.	These checklists are displayed for practitioners’ reference only. They will no longer be required to be submitted to the Exchange on or after 31 December 2023.

Updated 29 Dec 2023