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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  They speak as of their dates of issue; some information may have been superseded.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

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
22/11/2024 Publication of Consolidated and Updated Guidance Materials for Debt Securities Issuers
Listing Regulations > Debt Securities > Guidance Materials
16/11/2024 Updates of Residual Value Announcement Form and form filling guide for Structured Products Issuers
Rules and Guidance > Checklists, Forms and Templates > Structured Products Issuer
16/11/2024 Updates of Listing e-Forms and form filling guides for new applicants
•  For Main Board New Applicants: M119 / SE001 / M103 / M201
•  For GEM New Applicants: G118 / SE001 / G103/ 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
16/11/2024 Publication of revised e-Forms to increase the capacity for movement related entries under the monthly return
•  For Main Board Issuers: FF301 / FF302
•  For GEM Issuers: FF301
Checklists, Forms and Templates > Equity Securities Issuers > Main Board Issuers

and

Checklists, Forms and Templates > Equity Securities Issuers > GEM Issuers
24/09/2024 Launch of E-Learning “Preparing ISSB sustainability disclosures”
ESG Academy > Publications and Training
20/09/2024 Amendments to the Listing Rules relating to severe weather trading
•  Amendments to Main Board Listing Rules
•  Amendments to GEM Listing Rules
Rules and Guidance > Listing Rules > Amendments to Main Board Listing Rules

and

Rules and Guidance > Listing Rules > Amendments to GEM Listing Rules
20/09/2024
Updates of Guides to reflect the Rule amendments relating to severe weather trading
•  Guide on trading arrangements for selected types of corporate actions
•  Guide on disclosure of record date, book closure and latest time for lodging transfers of shares
•  Guide on distribution of dividends and other entitlements
•  Guide on general meetings
•  Consolidated version of Guides on the Exchange’s Practices and Procedures for Handling Listing-related Matters

Listed Issuers > Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters
20/09/2024
Updates of Guidance Materials for Listed Issuers
•  FAQ11.2 – No.29 (update to reflect the Rule amendments relating to severe weather trading)
•  FAQ11.2 – No.27 (update of rule reference)
•  GL104-19 (addition of new case)
•  LD62-1 (re-publication)
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
30/08/2024 Updates of Guide for New Listing Applicants to reflect the temporary modifications to MB Chapters 18B and 18C regarding (i) the minimum initial market capitalisation requirement for Specialist Technology Companies; and (ii) independent third party investment requirements for De-SPAC Transactions
Interpretation and Guidance > Guidance > Guide for New Listing Applicants
30/08/2024 Updates of the guidance letter HKEX-GL113-22 and the frequently asked questions on SPACs to reflect the temporary modifications to MB Chapter 18B regarding the independent third party investment requirements for De-SPAC Transactions
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
23/08/2024 Joint Announcement of the SFC and the Exchange in relation to Temporary Modifications to Requirements for Specialist Technology Companies and De-SPAC Transactions
News > Regulatory Announcements
16/08/2024 Publication of Consultation Paper on Proposals to Further Expand the Paperless Listing Regime and Other Rule Amendments
News > Market Consultations
19/07/2024 Addition of the Abu Dhabi Securities Exchange (ADX) and the Dubai Financial Market (DFM) to the List of Recognised Stock Exchanges
Listing of Overseas Issuers > List of Recognised Stock Exchanges

Please click here for all consultation papers and conclusions

 


Updated 24 Jan 2025