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Rules and Guidance

In addition to the Listing Rules, this section includes reference materials on: (i) Interpretation and Guidance; (ii) Forms; (iii) Other Resources; (iv) Disciplinary & Enforcement; and (v) e-Submission System.  These materials do not form part of the Rules, nor do they amend or vary any Rule requirements, or absolve issuers and/or their directors of any obligations to make their own judgment.  They speak as of their dates of issue; some information may have been superseded.  Contact the Listing Division with any queries.  The Division can be consulted on a confidential basis.

What's New

This section contains hyperlinks to materials published under “Listing - Rules and Guidance” in the last 6 months. 

Release Date (dd/mm/yyyy)

Particulars

Section

30/05/2025 Publication of Information Paper on Rule Amendments to Implement an Uncertificated Securities Market and “Issuer Platform”
News > Market Consultations
29/05/2025 Publication of updated Guide on Preparation of Annual Report (updated to reflect to the Corporate Governance Code related rule amendments to be effective on 1 July 2025)
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
29/05/2025 Publication of updated e-learning on Continuing Obligations (updated to reflect to the Corporate Governance Code related rule amendments to be effective on 1 July 2025)
Listing Regulations > Listed Issuers > e-Learning > Continuing Obligations
29/05/2025
Updates of the Frequently Asked Questions on Directors and the Corporate Governance Code to reflect the new corporate governance requirements to be effective on 1 July 2025
•  FAQ 1.1
•  FAQ 17.1
Rules and Guidance > Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
29/05/2025
Publication of updated Corporate Governance Guide for Boards and Directors (updated to reflect rule amendments to be effective on 1 July 2025) Listing Regulations > Sustainability & Corporate Governance > Corporate Governance Practices > Publications and Training
10/05/2025 Publication of new and revised Listing e-Forms and form filling guides for new applicants
•  For Main Board New Applicants: M119 / M201 / T103
•  For GEM New Applicants: G118 / G201
Rules and Guidance > Checklists, Forms and Templates > New Applicants > Main Board New Applicants

and

Rules and Guidance > Checklists, Forms and Templates > New Applicants > GEM New Applicants
06/05/2025 Updates on the guidance letter HKEX-GL77-14 to reflect changes made to the Guide for New Listing Applicants that are applicable to listed issuers and make consequential changes to the consolidated version of the Guidance Materials for Listed Issuers and Guide on preparation of annual report
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers > 18. Other topics

and

Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers

and

Rules and Guidance > Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers > 10. Continuing obligations

06/05/2025 Updates of Guide for New Listing Applicants to include guidance on:
•  the confidential filing option for Biotech Companies and Specialist Technology Companies;
•  presuming Biotech Companies and Specialist Technology Companies to have satisfied the Innovative Company Requirements and the external validation requirement under MB Chapter 8A; and
•  regarding contractual requirements, the update of the Regulatory Assurance Requirement and the Regulatory Approval for Other Requirements for applicants that are subject to the CSRC Filing Rules.
Interpretation and Guidance > Guidance > Guide for New Listing Applicants
31/03/2025 Stock Exchange regrouped Enforcement Bulletins by topics
Listed Issuers > Current topics > Listing Regulation and Enforcement Newsletters
10/03/2025 Addition of the Stock Exchange of Thailand (SET) to the List of Recognised Stock Exchanges
Listing of Overseas Issuers > List of Recognised Stock Exchanges
24/01/2025 Publication of Consultation Conclusions on Proposals to Further Expand the Paperless Listing Regime and Other Rule Amendments
News > Market Consultations
31/12/2024 Publication of Frequently Asked Questions
FAQ 10 – No. 3A
FAQ 17.3 – No. 12
Rules and Guidance > Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
31/12/2024 Updates of the frequently asked questions on the ESG Reporting Code to reflect the new climate-related disclosure requirements
Rules and Guidance > Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
19/12/2024 Publication of Consultation Conclusions Paper on Review of Corporate Governance Code and Related Listing Rules
News > Market Consultations
19/12/2024
Publication of Consultation Paper on Proposals to Optimise IPO Price Discovery and Open Market Requirements
News > Market Consultations
10/12/2024 Publication of Report of Review of Issuers’ Annual Reports
Listed Issuers > Exchange's Reports > Review of Issuers' Annual Reports
10/12/2024 Publication of Guide on Preparation of Annual Report
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
26/11/2024 Publication of the Exchange’s Listing Regulation and Enforcement Newsletter
Listed Issuers > Current topics > Listing Regulation and Enforcement Newsletters
26/11/2024 Publication of new Guidance Letter
GL120-24
Guidance > Guidance Materials for Listed Issuers
26/11/2024 Updates of Guidance Letter
GL95-18
Guidance > Guidance Materials for Listed Issuers
25/11/2024 Publication of 2024 Analysis of ESG Practice Disclosure
ESG Academy > Publications and Training

Please click here for all consultation papers and conclusions

 


Updated 30 May 2025