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  They speak as of their dates of issue; some information may have been superseded.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

07/08/2020 Publication of Consultation Paper on Review of Listing Rules relating to Disciplinary Powers and Sanctions Other Resources > Letters to Issuers
24/07/2020 Publication of Consultation Paper on Proposals to Introduce a Paperless Listing & Subscription Regime, Online Display of Documents and Reduction of the Types of Documents on Display Other Resources > Letters to Issuers
24/07/2020

Publication of updated Guidance Letter on CG and ESG for IPO Applicants

•  GL86-16

Interpretation and Guidance > Guidance Letters
17/07/2020 e-Learning on Connected Transaction Rules Other Resources > Listed Issuers > Connected and Notifiable Transactions
06/07/2020 Publication of Listing Newsletter: Issue 1 Listing > How We Regulate > Listing Newsletters
26/06/2020

Publication of Disciplinary Procedures and Enforcement Guidance Materials

•  Disciplinary Procedures – Listing Committee (for disciplinary actions commenced on or after 26 June 2020)

•  Disciplinary Procedures – Listing Review Committee

•  Statement on Settlement of Disciplinary Matters involving Listing Rule Breaches

Disciplinary and Enforcement > Disciplinary Procedures & Enforcement Guidance Materials

24/06/2020

Publication of revised Guidance Letter

•  GL51-13

Interpretation and Guidance > Guidance Letters
08/06/2020 Publication of 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 Other Resources > Listed Issuer
05/06/2020

Publication of Listing Decisions

•  To provide guidance on why the Exchange rejected certain listing applications (LD126-2020)

•  To provide guidance on why the Exchange returned certain listing applications (LD127-2020)

Interpretation and Guidance > Listing Decisions
29/05/2020 Regulatory Presentation : New Enhancements to the Biotech Chapter Other Resources > New Applicant
22/05/2020 Publication of 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 Other Resources > Listed Issuer
29/04/2020

Publication of Guidance Materials for Biotech Companies

GL107-20/ GL92-18/ GL86-16/ GL85-16

FAQ No. 030-2018 to 044-2018

Interpretation and Guidance
24/04/2020 Publication of the Exchange’s Listed Issuer Regulation Newsletter Other Resources > Listed Issuers > Listed Issuer Regulation Newsletter
17/04/2020

Publication of Listing Decisions

•  Whether the Remaining Group could meet the minimum market capitalisation requirement under Rule 8.09(2) (LD124-2020)

•  Whether the Remaining Group could meet the minimum market capitalisation requirement under Rule 8.09(2) (LD125-2020)

Interpretation and Guidance > Listing Decisions
17/04/2020

Publication of Frequently Asked Questions

•  FAQ No. 071-2020

Interpretation and Guidance > Frequently Asked Questions
17/04/2020

Update of Frequently Asked Questions

•  FAQ No. 045-2018 to 052-2018 (Added No. 045A-2018)

Interpretation and Guidance > Frequently Asked Questions
01/04/2020 Joint Statement in relation to General Meetings in light of the Prevention and Control of Disease (Prohibition on Group Gathering) Regulation Other Resources > Listed Issuer
16/03/2020 Publication of Further Guidance on the Joint Statement in relation to Results Announcements in light of the COVID-19 Pandemic Other Resources > Listed Issuer > Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent and Frequently Asked Questions
13/03/2020 Publication of the Exchange’s Biannual Enforcement Newsletter Disciplinary & Enforcement > Enforcement Newsletter
06/03/2020 E-training and guidance materials on ESG reporting Other Resources > Letters to Issuers
28/02/2020

Publication of Guidance Materials on ESG reporting:

•  FAQ Series 18

Interpretation and Guidance
28/02/2020

Publication of revised Guidance Letters and FAQs as a result of Streamlining Guidance Materials Relating to Listing Matters:

•  GL36-12/ GL52-13/ GL89-16

•  FAQ No. 008-2017 to 022-2017/ FAQ Series 1/ FAQ Series 5/ FAQ Series 8/ FAQ Series 20/ FAQ Series 24/ FAQ Series 26/ FAQ Series 31

Interpretation and Guidance
28/02/2020  Publication of frequently asked questions on the Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent
Other Resources > Listed Issuer
04/02/2020 Publication of Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent Other Resources > Listed Issuer


Updated 07 Aug 2020