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  They speak as of their dates of issue; some information may have been superseded.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

31/03/2021 Publication of Consultation Paper on Listing Regime for Overseas Issuers News > 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
30/10/2020 Publication of Listing e-Forms webpage Listing e-Forms
30/10/2020 Publication of Consultation Conclusions Paper on Corporate WVR Beneficiaries Other Resources > Letters to Issuers
23/10/2020 Publication of revised Guidance Letter

GL106-19
Interpretation and Guidance > Guidance Letters
12/10/2020 e-Learning on Notifiable Transaction Rules Other Resources > Listed Issuers > Connected and Notifiable Transactions
30/9/2020

Updates and withdrawals of Guidance Letters, FAQs and Listing Decisions as a result of the Rule changes on Codification of General Waivers and Principles Relating to IPOs and Listed Issuers and Minor Rule Amendments

• GL7-09/ GL10-09/ GL16-09/ GL31-12/ GL32-12/ GL56-13/ GL58-13/ GL60-13
• FAQ Series 1, No. 49/ Series 2, No. 3/ 069-2019
LD25-2012/ LD99-5/ LD83-1/ LD18-2011/ LD9-2011/ LD35-1/ LD47-2013/ LD81-2014/ LD15-3/ LD50-2/ LD94-1/ LD38-2012

Interpretation and Guidance
30/9/2020

Revised Checklists and Forms as a result of the Rule changes on Codification of General Waivers and Principles Relating to IPOs and Listed Issuers and Minor Rule Amendments

CF025G/ FF201G/ FF003G/ DU004G/ DU005G

Forms > GEM Issuers
04/09/2020 Publication of Listing Decisions

Whether Company X can seek a prior mandate from its shareholders on a one-off basis to issue new shares over a period of time under a share issuance proposal under GEM Rule 17.39 (LD128-2020)

Whether Company A's proposal to grant options to a discretionary trust under a share option scheme would meet the requirements under Chapter 17 of the Main Board Rules (LD129-2020)

Interpretation and Guidance > Listing Decisions

Please click here for all consultation papers and conclusions

 


Updated 31 Mar 2021