What's New

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 They speak as of their dates of issue; some information may have been superseded.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
01/01/2022	Publication of revised Listing e-Forms and guidelines for Main Board Issuers • DU003M/ DU004M Publication of revised e-Form guidelines for Main Board Issuers • DU005M	Checklists and Forms > Main Board Issuers and Listing e-Forms
01/01/2022	Publication of revised Listing e-Forms and guidelines for GEM Issuers • DU003G/ DU004G Publication of revised e-Form guidelines for GEM Issuers • DU005G	Checklists and Forms > GEM Issuers and Listing e-Forms
01/01/2022	Publication of revised Listing e-Forms and guidelines for new listing applicants • M402/ G402/ DU003M/ DU003G/ DU004M/ DU004G Publication of revised e-Form guidelines for new listing applicants • DU005M/ DU005G	Listing e-Forms
01/01/2022	Publication of revised Checklists and Forms and guidelines for New Applicants • M402/ G402/ DU003M/ DU003G/ DU004M/ DU004G Publication of revised guidelines on Checklists and Forms for New Applicants • DU005M/ DU005G	Checklists and Forms > New Applicants
31/12/2021	Publication of new Guidance Letters • GL111-22 • GL112-22 • GL113-22 Publication of revised Guidance Letters • GL26-12 • GL46-12 • GL55-13 • GL56-13 • GL57-13 • GL86-16 • GL93-18 • GL94-18 • GL102-19 Publication of revised Listing Decisions • LD28-2012 • LD43-3 • LD57-2013 • LD74-1 • LD93-2016 • LD99-3 • LD114-1 Withdrawal of Listing Decision • LD85-1 Publication of Frequently Asked Questions • FAQ No. 076-2022 Updates of Frequently Asked Questions • FAQ (Series 1) • FAQ (Series 6) • FAQ (Series 9) • FAQ (Series 25) • FAQ (Series 26) • FAQ No. 030-2018 to 044-2018 • FAQ No. 059-2019 to 067-2019 • FAQ No. 075-2021	Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants and Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers and Interpretation and Guidance > Listing Decisions and Archive > Archive - Listing Decisions and Interpretation and Guidance > Frequently Asked Questions
30/12/2021	e-Learning on Continuing Disclosure Obligations and Trading Halt	Listed Issuers > e-Learning > Continuing Disclosure Obligations and Trading Halt
29/12/2021	Updates of Frequently Asked Questions on Corporate Governance Code and Related Listing Rules • FAQ Series 17	Interpretation and Guidance > Frequently Asked Questions
17/12/2021	Publication of Consultation Conclusions Paper on Special Purpose Acquisition Companies	News > Market Consultations
17/12/2021	Publication of new template and revised checklist for New Applicants • M104/ M105/ M106	Checklists and Forms > New Applicants
17/12/2021	Publication of the Exchange’s Listed Issuer Regulation Newsletter	Listed Issuers > Current topics > Listed Issuer Regulation Bulletins
13/12/2021	Publication of Application Form • Scheme for quarantine-free travel to the Mainland (English version only)	Listed Issuer > Current topics > COVID-19 Pandemic
10/12/2021	Publication of Corporate Governance Guide for Boards and Directors	Rules and Guidance > Corporate Governance Practices
10/12/2021	Publication of Consultation Conclusions Paper on Corporate Governance Code & Related Listing Rules, and Housekeeping Rule Amendments	News > Market Consultations
10/12/2021	Publication of new template and revised checklist for New Applicants • M105/ M106/ M108/ M120/ G105/ G106/ G108	Checklists and Forms > New Applicants
04/12/2021	Pre-IPO enquiries should be submitted through e-Submission System (ESS)	Contact Us / Make a Complaint > Contact persons in HKEX Listing Division for Pre-IPO Enquiry and IPO Processing
04/12/2021	Publication of new Listing e-Forms and guidelines for potential / new listing applicants • CIS002/M501/M112/G112/M119/G118/M402/G402 Publication of new checklist and forms for new CIS applicants • CN001 (CIS)	Checklists and Forms > New Applicants
04/12/2021	Publication of revised e-Forms • CF093/FF201G/FF005/CF006/EF001/EF002/EF003/EF004/EF005/IF001/FF304	Checklists and Forms > Main Board Issuers and Checklists and Forms > GEM Issuers
04/12/2021	Publication of revised guidelines • EF001/EF002/EF003/EF004/EF006/FF304	Listing e-Forms
19/11/2021	Publication of Consultation Conclusions Paper on Listing Regime for Overseas Issuers	News > Market Consultations
05/11/2021	Publication of revised Guidance Letters • GL55-13 • GL57-13 • GL79-14	Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
05/11/2021	Publication of revised Listing e-Forms and Announcement Forms • CF093/FF201G/FF005/CF006/EF001/EF002/EF003/EF004/EF005/EF006/IF001/FF304	Listing e-Forms
05/11/2021	Publication of new Listing e-Forms and new Notices to Issuers • CIS002/M112_G112/M119_G118/M402_G402/M501/DS002	Listing e-Forms
05/11/2021	Publication of Guidance on Climate Disclosures	Environmental, Social and Governance (ESG) > Exchange's guidance materials on ESG
05/11/2021	Publication of Analysis of IPO Applicants’ Corporate Governance and ESG Practice Disclosure in 2020/2021	Environmental, Social and Governance (ESG) > Reports on Environmental, Social and Governance Practice Disclosure and Corporate Governance Practices
03/11/2021	Publication of revised Checklists for Main Board Issuers • CF011M/CF014M/CF015M/CF016M/CF214M	Checklists and Forms > Main Board Issuers
03/11/2021	Publication of revised Checklists for GEM Issuers • CF008G/CF011G/CF014G/CF015G/CF016G/CF214G	Checklists and Forms > GEM Issuers
29/10/2021	Publication of Consultation Paper on Proposed Amendments to Listing Rules relating to Share Schemes of Listed Issuers	News > Market Consultations
22/10/2021	Updates of Frequently Asked Questions • FAQ No. 075-2021	Interpretation and Guidance > Frequently Asked Questions
16/10/2021	Publication of revised Listing e-Forms • DU003G/DU004G/DU005G/DU003M/DU004M/DU005M/FF301/FF302/FF304	Listing e-Forms and Checklists and Forms > Main Board Issuers and Checklists and Forms > GEM Issuers and Checklists and Forms > New Applicants
24/09/2021	e-Learning on Continuing Obligations	Listed Issuers > e-Learning > Continuing Obligations
17/09/2021	Publication of Consultation Paper on Special Purpose Acquisition Companies	News > Market Consultations
12/08/2021	Publication of Listing Newsletter: Issue 3	Listing Regulations > How We Regulate > Listing Newsletters
31/07/2021	Publication of revised Meeting Notification e-Form and guideline	Listing e-Forms and Checklists and Forms > Main Board Issuers and Checklists and Forms > GEM Issuers
30/07/2021	Publication of Listing Decisions • LD130-2021 • LD131-2021	Interpretation and Guidance > Listing Decisions
15/07/2021	Publication of the Exchange’s Enforcement Bulletin	Disciplinary & Enforcement > Enforcement Bulletin
10/07/2021	Publication of new Announcement Forms, Return e-Forms and Meeting Notification e-Form and guidelines • EF001/EF002/EF003/EF004/EF005/IF001/FF301/FF302/FF303/FF304	Checklists and Forms > Main Board Issuers and Checklists and Forms > GEM Issuers
10/07/2021	Publication of new Form Filling Video Guide for Return e-Forms	Listing e-Forms
08/07/2021	Publication of Disciplinary Procedures and Enforcement Guidance Materials • Enforcement Policy Statement • Enforcement Sanctions Statement	Disciplinary and Enforcement > Disciplinary Procedures & Enforcement Guidance Materials
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

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Updated 01 Jan 2022

Rules and Guidance

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