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 They speak as of their dates of issue; some information may have been superseded.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

Rule Books

main board online rulebook	gem online rulebook
Main Board Listing Rules	GEM Listing Rules

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
18/06/2021	Publication of Frequently Asked Questions • FAQ No. 075-2021	Interpretation and Guidance > Frequently Asked Questions
12/06/2021	Publication of revised Listing e-Forms for Main Board Issuers • CF006/FFD001M/FF004/DU003M/DU004M/DU005M	Checklists and Forms > Main Board Issuers and Listing e-Forms
12/06/2021	Publication of revised Listing e-Forms for GEM Issuers • CF006/FF201G/FF004/DU003G/DU004G/DU005G	Checklists and Forms > GEM Issuers and Listing e-Forms
12/06/2021	Publication of revised Listing e-Forms for New Applicants • SE001/M201G201/M103/G103/FF004/DU003G/DU004G/DU005G/DU003M/DU004M/DU005M	Checklists and Forms > New Applicants and Listing e-Forms
11/06/2021	Publication of new Listing e-Form and guidelines • EF001/EF002/EF003/EF004/EF005/EF006/IF001/FF301/FF302/FF303/FF304	Listing e-Forms
11/06/2021	Publication of new Notices to Issuers, Video Tutorials, ESS Quick Reference Guides, Manuals and FAQs	Listing e-Forms
11/06/2021	Publication of revised Guidance Letter • GL106-19	Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
28/05/2021	Publication of Application Forms • Application Form for Exemption of Directors of Hong Kong-listed Companies or Listing Applicants on Duty Travel to Hong Kong under Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (with effect from 28 May 2021) • Application Form for Exemption for Directors or Executives of Hong Kong-listed Companies Included in Hang Seng Index, Hang Seng China Enterprises Index or Hang Seng Composite LargeCap, MidCap or SmallCap Index (with effect from 28 May 2021)	Listed Issuer > Current topics > COVID-19 Pandemic
28/05/2021	Publication of the Exchange’s Listed Issuer Regulation Newsletter	Listed Issuers > Current topics > Listed Issuer Regulation Bulletins
21/05/2021	Publication of Frequently Asked Questions • FAQ No. 073-2021 • FAQ No. 074-2021	Interpretation and Guidance > Frequently Asked Questions
20/05/2021	Publication of Consultation Conclusions Paper on the Main Board Profit Requirement	News > Market Consultations
20/05/2021	Publication of Consultation Conclusions Paper on the Review of Listing Rules Relating to Disciplinary Powers and Sanctions	News > Market Consultations
16/04/2021	Publication of Consultation Paper on Review of Corporate Governance Code and Related Listing Rules	News Centre > Market Consultations
31/03/2021	Publication of Consultation Paper on Listing Regime for Overseas Issuers	News Centre > Market Consultations
05/03/2021	Publication of Guidance Letter on Pre-vetting for placing to connected clients in an initial public offering • GL110-21	Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
05/03/2021	Publication of revised Guidance Letter • GL85-16	Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
27/02/2021	Publication of revised guidelines for Listing e-Forms M103	Listing e-Forms
27/02/2021	Publication of revised Listing e-Forms for New Applicants • SE001/ M103/ G103/ M201_G201/ DU003M/ DU004M/ DU005M/ DU003G/DU004G/ DU005G/ FF004	Checklists and Forms > New Applicants and Listing e-Forms
27/02/2021	Publication of revised Listing e-Forms for Main Board Issuers • CF006/ CF093/ DU003M/ DU004M/ DU005M/ FF004/ FF005/ FFD001M	Checklists and Forms > Main Board Issuers and Listing e-Forms
27/02/2021	Publication of revised Listing e-Forms for GEM Issuers • CF006/ CF093/ DU003G/ DU004G/ DU005G/ FF004/ FF005/ FF201G	Checklists and Forms > GEM Issuers and Listing e-Forms
10/02/2021	Publication of revised Guidance Letter • GL107-20	Interpretation and Guidance > Guidance Letters>Guidance Letters for New Applicants
09/02/2021	Publication of Revised Frequently Asked Questions • FAQ No. 054-2019 • FAQ No. 055-2019	Interpretation and Guidance > Frequently Asked Questions
09/02/2021	Publication of Revised Guides • Guide on Practices and Procedures for Post-vetting Announcements of Listed Issuers and Handling Matters involving Trading Arrangements prior to Publication of Announcements	Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters
09/02/2021	Publication of Revised Checklists • DR001M/ DR002M/ DR003M/ DR004M/ DR005M/ DR006M/ DR007M/ DR008M/ DR009M/ DR011/ DR012M	Checklists and Forms > Main Board Issuers
09/02/2021	Publication of Revised Checklists • DR001G/ DR002G/ DR003G/ DR004G/ DR005G/ DR006G/ DR007G/ DR008G/ DR009G/ DR011/ DR012G	Checklists and Forms > GEM Issuers
05/02/2021	Secondary Listings in Hong Kong	Listing of Overseas Companies
29/01/2021	Publication of Review of Issuers’ Annual Report Disclosure – Report 2020	Listed Issuers > Exchange's Reports > Review of Issuers' Annual Report Disclosure
23/01/2021	Publication of revised guidelines for Listing e-Forms • M103/ G103/ CF006/ CF093/ DU003M/ DU004M/ DU005M/ DU003G/ DU004G/ DU005G/ FF004/ FF201G/ FFD001M	Listing e-Forms
23/01/2021	Publication of revised Listing e-Forms for New Applicants • SE001/ M103/ G103/ FF004	Checklists and Forms > New Applicants and Listing e-Forms
23/01/2021	Publication of revised Listing e-Forms for Main Board Issuers • CF006/ FF004	Checklists and Forms > Main Board Issuers and Listing e-Forms
23/01/2021	Publication of revised Listing e-Forms for GEM Issuers • CF006/ FF004	Checklists and Forms > GEM Issuers and Listing e-Forms
14/01/2021	Publication of Listing Newsletter: Issue 2	Listing > How We Regulate > Listing Newsletters
13/01/2021	e-Learning on Equity Fundraising Rules	Listed Issuers > e-Learning > Equity Fundraising Rules
18/12/2020	Publication of Consultation Conclusions Paper on Paperless Listing & Subscription Regime, Online Display of Documents and Reduction of the Types of Documents on Display	News > Market Consultations
15/12/2020	Publication of the Exchange’s Listed Issuer Regulation Newsletter	Listed Issuers > Current topics > Listed Issuer Regulation Bulletins
11/12/2020	Analysis of 2019 Corporate Governance Practice Disclosure	Listed Issuers > Exchange's Reports > Review of Implementation of Corporate Governance Code
11/12/2020	Making inroads into good Corporate Governance and ESG management – Perspectives from industry practitioners	Rules and Guidance / Corporate Governance Practices and Rules and Guidance / Environmental, Social and Governance (ESG)
27/11/2020	Publication of the Exchange’s Enforcement Bulletin	Disciplinary & Enforcement > Enforcement Bulletin
27/11/2020	Publication of revised Guidance Letters • GL55-13 • GL57-13	Interpretation and Guidance > Guidance Letters>Guidance Letters for New Applicants
27/11/2020	New form CN001 and Listing e-Forms for New Applicants • SE001/ M103/ G103/ M201_G201/ DU003M/ DU004M/ DU005M/ DU003G/DU004G/ DU005G/ FF004	Checklists and Forms > New Applicants
27/11/2020	New Listing e-Forms for Main Board Issuers • CF006/ CF093/ DU003M/ DU004M/ DU005M/ FF004/ FF005/ FFD001M	Checklists and Forms > Main Board Issuers
27/11/2020	New Listing e-Forms for GEM Issuers • CF006/ CF093/ DU003G/ DU004G/ DU005G/ FF004/ FF005/ FF201G	Checklists and Forms > GEM Issuers
27/11/2020	Publication of Guideline • Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer	Listing e-Forms
27/11/2020	Publication of Consultation Paper on the Main Board Profit Requirement	News > Market Consultations
06/11/2020	Publication of Guidance Letter on continuing obligations of authorised collective investment schemes listed under Chapter 20 of the Main Board Listing Rules • GL109-20	Interpretation and Guidance > Guidance Letters
06/11/2020	Publication of Frequently Asked Questions • FAQ No. 072-2020	Interpretation and Guidance > Frequently Asked Questions

Please click here for all consultation papers and conclusions

Updated 18 Jun 2021

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