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  They speak as of their dates of issue; some information may have been superseded.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

24/05/2024 Publication of preview version of revised Next Day Disclosure Return and Monthly Return e-Forms
•  For Main Board Issuers: FF301 (preview) / FF302 (preview) / FF304 (preview) / FF305 (preview)
•  For GEM Issuers: FF301 (preview) / FF305 (preview)

(The final version of the revised e-Forms will be available for download and submission at the e-Submission System from 10 June 2024 (18:00))
Checklists, Forms and Templates > Equity Securities Issuers > Main Board Issuers

and

Checklists, Forms and Templates > Equity Securities Issuers > GEM Issuers
10/05/2024 Updates of Guidance Materials for Listed Issuers
•  Streamlined and regrouped frequently asked questions for listed issuers by topics and withdrew outdated ones
•  Updated guidance letters
    - GL83-15 / GL111-22 / GL112-22 / GL113-22
•  Published consolidated version of Guidance Materials for Listed Issuers 
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
10/05/2024
Publication of new Frequently Asked Questions
•  FAQ4.1 – No.2 / FAQ6.1 – No.4 / FAQ11.2 – No.6 / FAQ17.3 – No.11
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
10/05/2024
Updated Guides for Rule reference
•  Guide on practices and procedures for post-vetting announcements of listed issuers / Guide on selection of headlines and title of documents under electronic disclosure / Guide on trading arrangements for selected types of corporate actions / Guide on distribution of dividends and other entitlements / Guide on general meetings
Listed Issuers > Guides on the Exchange’s Practices and Procedures for Handling Listing-related Matters
10/05/2024 Updates of Guide for New Listing Applicants to include (i) an annex of frequently asked questions relating to New Listing; (ii) further guidance on placing related matters; and (iii) a new listing decision with regards to change of company’s name
Interpretation and Guidance > Guidance > Guide for New Listing Applicants
10/05/2024 Publication of Regrouped Frequently Asked Questions for Debt Securities Issuers
Listing Regulations>Debt Securities>Guidance
10/05/2024 Publication of New and Regrouped Frequently Asked Questions for Structured Products Issuers
Listing Regulations>Structured Products> Guidance
30/04/2024 Publication of the Exchange’s Enforcement Bulletin  Disciplinary & Enforcement > Enforcement Bulletin
23/04/2024 Publication of new Frequently Asked Questions
•  FAQ No. 163-2024 to 164-2024
Interpretation and Guidance > Frequently Asked Questions
19/04/2024 Publication of Consultation Conclusions on Enhancement of Climate-related Disclosures under the Environmental, Social and Governance Framework News > Market Consultations
19/04/2024
Publication of Implementation Guidance for Climate Disclosures under HKEX ESG Reporting Framework
Sustainability & Corporate Governance > ESG Academy > Publication and Training > Guides
12/04/2024 Publication of Consultation Conclusions Paper on Proposed Amendments to Listing Rules Relating to Treasury Shares
News > Market Consultations
12/04/2024
Publication of new Frequently Asked Questions
•  FAQ No. 156-2024 to 162-2024
Interpretation and Guidance > Frequently Asked Questions
12/04/2024
Publication of new Guidance Letter
•  GL119-24
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
26/01/2024 Publication of Report of Review of Issuers’ Annual Reports
Listed Issuers > Exchange's Reports > Review of Issuers' Annual Reports
11/01/2024 Publication of Private Reprimands
Disciplinary & Enforcement > Disciplinary Sanctions
06/01/2024 Publication of revised Checklists and Forms
•  For Main Board New Applicants / GEM New Applicants: FF004
•  For Main Board Issuers / GEM Issuers: FF004
•  For Main Board Debt Securities Issuers / GEM Debt Securities Issuers: FF004
Checklists and Forms > New Applicants > Main Board New Applicants / GEM New Applicants

and

Checklists and Forms > Equity Securities Issuers > Main Board Issuers / GEM Issuers

and

Checklists and Forms > Debt Securities Issuers > Main Board Debt Securities Issuers / GEM Debt Securities Issuers
29/12/2023 Publication of new Frequently Asked Questions
•  FAQ No. 138-2024 to 155-2024
Interpretation and Guidance > Frequently Asked Questions 
29/12/2023 Updates of Frequently Asked Questions
•  Series 1 / Series 2 / Series 6 / Series 7 / Series 8 / Series 9 / Series 11 / Series 14 / Series 17 / Series 18 / Series 20 / Series 22 / Series 24 / Series 25 / Series 26 / Series 31 / 002-2017 to 004-2017 / 053-2019 / 054-2019 to 056-2019 / 075-2021 / 077-2022 / 078-2022 to 082-2022 / 083-2022 to 101-2022 / 102-2022 to 117-2022
Interpretation and Guidance > Frequently Asked Questions
29/12/2023 Withdrawals of Frequently Asked Questions
•  Series 5 / 008-2017 to 022-2017
Interpretation and Guidance > Frequently Asked Questions
29/12/2023 Publication of revised Checklists and Forms
•  For Main Board New Applicants / GEM New Applicants: M120 / M101/ M119 / SE001 / M103 / M104 / M111 / M112 / M119 / FF004 / M201 / M501 / CIS002 / T103 / MT001 / MT002 / MT003 / M105 / M106 / M107 / M108 / G101 / G118 / G103/ G104 / G111 / G112 / FF004 / G201 / FF003G / GT001/ GT002 / GT003 / G105 / G106 / G107 / G108
•  For Main Board Issuers / GEM Issuers: CF025M / CF009M / CF007M / CF092 / CF016M / CF014M / CF015M / CF017M / CF214M / CF026M / CF011M / CF019M / CF028M / CF005M / CF020M / CF021M / DR001M / DR002M / DR003M / DR004M / DR005M / DR006M / DR007M / DR008M / DR009M / DR012M / FFD001M / FFD007M / FFD008M / FFD003M / FF004 / FF005 / CF025G / CF009G / CF007G / CF092 / CF016G / CF014G / CF015G / CF008G / CF017G / CF214G / CF026G / CF011G / CF019G / CF005G / CF020G / CF021G / DR001G / DR002G / DR003G / DR004G / DR005G / DR006G / DR007G / DR008G / DR009G / DR012G / FF201G / FF017G / FF003G
•  For Main Board Debt Securities Issuers / GEM Debt Securities Issuers: M103 / FFD002M / FF004 / FFD004M / MT001 / MT003 / MT004 / FF202G / FF018G / FF003G / FF004 / GT001 / GT003 / GT004

Checklists and Forms > New Applicants > Main Board New Applicants / GEM New Applicants

and

Checklists and Forms > Equity Securities Issuers > Main Board Issuers / GEM Issuers

and

Checklists and Forms > Debt Securities Issuers > Main Board Debt Securities Issuers / GEM Debt Securities Issuers
29/12/2023 Updates of Guidance Materials for Listed Issuers
•  Regrouped guidance letters and listing decisions by topics
•  Streamlined listing decisions and incorporated them into related guidance letters
    - GL104-19 / GL106-19 / GL108-20
•  Updated guidance letters to reflect the publication of the Guide for New Listing Applicants, the Rule amendments relating to the paperless listing regime and the GEM Listing Reforms, and/or other minor changes
   - GL67-13 / GL69-13 / GL71-14 / GL76-14 / GL77-14 / GL79-14 / GL83-15 / GL95-18 / GL96-18 / GL103-19 / GL108-20 / GL109-20 / GL111-22 / GL112-22 / GL113-22 / GL116-23 / GL118-23
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
29/12/2023 Publication of Frequently Asked Question
• FAQ No. 137-2023
Interpretation and Guidance > Frequently Asked Questions
29/12/2023 Updates of Guide for New Listing Applicants to reflect recent regulatory updates in relation to (i) GEM Listing Reforms; and (ii) the electronic submission of prospectus and accompanying documents to the Exchange and the Companies Registry for authorisation and registration
Interpretation and Guidance > Guidance > Guide for New Listing Applicants
15/12/2023 Publication of Consultation Conclusions Paper on GEM Listing Reforms
News > Market Consultations
13/12/2023 Publication of revised Frequently Asked Questions
• FAQ No. 119-2023 to 136-2023
Interpretation and Guidance > Frequently Asked Questions
13/12/2023 Publication of new Guidance Letter
GL118-23
Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers / Guidance Letters for New Applicants
29/11/2023 Publication of Guide for New Listing Applicants (to be effective on 1 January 2024)
Interpretation and Guidance > Guidance > Guide for New Listing Applicants (to be effective on 1 January 2024)
29/11/2023 Publication of the Exchange’s Listed Issuer Regulation Newsletter
Listed Issuers > Current topics > Listed Issuer Regulation Newsletters
24/11/2023 Addition of the Indonesia Stock Exchange (IDX) to the List of Recognised Stock Exchanges Listing of Overseas Companies > List of Recognised Stock Exchanges
21/11/2023 Publication of revised Guidance Letter
• GL85-16
Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
17/11/2023 Analysis of 2022 Corporate Governance Practice Disclosure
Listed Issuers > Exchange's Reports > Review of Implementation of Corporate Governance Code
17/11/2023 A Snapshot of INEDs’ Roles and Responsibilities
Sustainability & Corporate Governance > Corporate Governance Practices > Publications and Training > Guides & Reports
03/11/2023 Update on Consultation on Enhancement of Climate Disclosures under ESG Framework
News Centre > Regulatory Announcements

Please click here for all consultation papers and conclusions

 


Updated 24 May 2024