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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  They speak as of their dates of issue; some information may have been superseded.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
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/ DR011/ DR012G 
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/ DU005M/ DU003G/ 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
28/08/2020 Publication of Consultation Conclusions on Codification of General Waivers and Principles relating to IPOs and Listed Issuers and Minor Rule Amendments

Publication of new Guidance Letter on Experience and Qualification Requirements of a Company Secretary 
• GL108-20 		Other Resources – Letters to Issuers



Interpretation and Guidance > Guidance Letters
28/08/2020

Publication of revised Guidance Letter

• GL53-13

 Interpretation and Guidance > Guidance Letters
21/08/2020 Publication on Consultation Conclusions on Review of Chapter 37 – Debt Issues to Professional Investors Only and Guidance on Disclosures in Listing Documents and Continuing Obligations under Chapter 37 – Debt Issues to Professional Investors Only Other Resources > Letters to Issuers
07/08/2020 Publication of Consultation Paper on Review of Listing Rules relating to Disciplinary Powers and Sanctions Other Resources > Letters to Issuers

Please click here for all consultation papers and conclusions

 


Updated 27 Feb 2021