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  They speak as of their dates of issue; some information may have been superseded.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

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/ DR011DR012G 
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/ DU005MDU003G/ 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 12 Jun 2021