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  They speak as of their dates of issue; some information may have been superseded.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

02/12/2022 Updates of Frequently Asked Questions
• FAQ No. 083-2022 to 101-2022
Interpretation and Guidance > Frequently Asked Questions
25/11/2022 Publication of 2022 Analysis of ESG Practice Disclosure
Listed Issuers > Exchange's Reports > Review of Implementation of Environmental, Social and Governance Reporting Guide
25/10/2022 Publication of the Exchange’s Guidance Note on Cooperation and updated Sanctions Statement and Policy Statement
Disciplinary & Enforcement > Enforcement Guidance Materials
19/10/2022 Publication of Consultation Paper on a Listing Regime for Specialist Technology Companies News > Market Consultations
08/10/2022 Publication of revised e-Forms for New Applicants
DU003M
DU004M
DU005M
DU003G
DU004G
DU005G
FF004

 
Checklists and Forms > New Applicants

and

Listing e-Forms
08/10/2022 Publication of revised e-Forms
DU003M
DU004M
DU005M
FF004
CF093

Checklists, Forms and Templates > Main Board Issuers

and

Listing e-Forms
08/10/2022 Publication of revised e-Forms
• FF201G
• DU003G
• DU004G
• DU005G
• FF004
• CF093

Checklists, Forms and Templates > GEM Issuers

and

Listing e-Forms
30/09/2022 Publication of revised Checklists for Main Board Issuers
CF014M/ CF019M/ DR003M
Checklists and Forms > Main Board Issuers
30/09/2022 Publication of revised Checklists for GEM Issuers
CF014G/ CF019G/ DR003G/ DR008G/ DR009G
Checklists and Forms > GEM Issuers
16/09/2022 Publication of Frequently Asked Questions
• FAQ No. 102-2022 to 117-2022
Interpretation and Guidance > Frequently Asked Questions
09/09/2022 Publication of Listing Decision
• LD138-2022
Interpretation and Guidance > Listing Decisions
31/08/2022 Updates of Frequently Asked Questions
• FAQ No. 077-2022
Interpretation and Guidance > Frequently Asked Questions
17/08/2022 Publication of the Exchange’s Enforcement Bulletin
Disciplinary & Enforcement > Enforcement Bulletin
04/08/2022

Publication of revised Guidance Letters

Updates of Frequently Asked Questions
FAQ No. 077-2022
FAQ (Series 2)

Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants

and

Interpretation and Guidance > Frequently Asked Questions
04/08/2022 Publication of revised e-Forms for New Applicants
• SE001/ M103/ G103/ CIS002
Checklists and Forms > New Applicants
04/08/2022 Publication of revised Checklists and Forms for New Applicants
• CN001/ FFD003M/ M401/ FFD004M/ FF003G/ FF017G/ FF018G/ G401
Checklists and Forms > New Applicants
30/07/2022 Publication of revised e-Form
• FF201G
Checklists and Forms > GEM Issuers

and

Listing e-Forms
30/07/2022 Publication of revised e-Forms and guidelines for New Applicants
• SE001/ M103/ M201/ CIS002/ G103/ G201
Listing e-Forms
29/07/2022 Publication of Consultation Conclusions Paper on Proposed Amendments to Listing Rules relating to Share Schemes of Listed Issuers and Housekeeping Rule Amendment News > Market Consultations
29/07/2022 Publication of Frequently Asked Questions
FAQ No. 083-2022 to 101-2022
Interpretation and Guidance > Frequently Asked Questions
24/06/2022 Publication of Listing Decisions
LD136-2022
LD137-2022
Interpretation and Guidance > Listing Decisions
24/06/2022 Publication of revised Guidance Letter
GL95-18
Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
22/06/2022 Publication of Private Reprimands
Disciplinary & Enforcement > Disciplinary Sanctions 
17/06/2022 Publication of Frequently Asked Questions
FAQ No. 078-2022
FAQ No. 079-2022
FAQ No. 080-2022
FAQ No. 081-2022
FAQ No. 082-2022
Interpretation and Guidance > Frequently Asked Questions
10/06/2022 Publication of the Exchange’s Listing Newsletter How We Regulate > Listing Newsletter
28/05/2022 Publication of revised e-Form
• FF005
Checklists and Forms > Main Board Issuers

and

Checklists and Forms > GEM Issuers
28/05/2022 Publication of revised e-Forms for New Applicants
• G103/M112/G112/M119/G118
Checklists and Forms > New Applicants

and

Listing e-Forms
27/05/2022 Updates of Frequently Asked Question
FAQ No. 077-2022
Interpretation and Guidance > Frequently Asked Questions
20/05/2022
Publication of new Listing Decisions
LD132-2022
LD133-2022
LD134-2022
LD135-2022

Publication of revised Guidance Letter
GL25-11

Interpretation and Guidance > Listing Decisions

and

Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
16/05/2022 Publication of the Exchange’s Listed Issuer Regulation Newsletter Listed Issuers > Current topics > Listed Issuer Regulation Newsletters

Please click here for all consultation papers and conclusions

 


Updated 02 Dec 2022