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Archive - Frequently Asked Questions

Consolidated Version of Withdrawn Frequently Asked Questions

Frequently Asked Questions marked up against the last published versions (from January 2014 onwards)

With effect from 2014, we will publish a marked-up version of the Frequently Asked Questions in the Archive to enable readers to note the changes made to the last version.

FAQ Number/ Series Number First Release Date (Last Update Date)(dd/mm/yyyy) Particulars
Series 131/03/2004 (11/11/2016)Rule Amendments relating to Corporate Governance and Listing Criteria Issues (marked-up version issued in November 2016)
Series 2426/07/2013 (11/11/2016)Listing Rule changes to complement the Securities and Future Commission's New Sponsor Regulation effective on 1 October 2013 (marked-up version issued in November 2016)
Series 2917/11/2014 (04/11/2016)Shanghai and Shenzhen Connect (marked-up version issued in November 2016)
001-201602/02/2012 (13/05/2016)Questions relating to Guidance Letter HKEX-86-16 "Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications" (marked-up version issued in May 2016)
003-201602/02/2012 (13/05/2016)Questions relating to Guidance Letter HKEX-86-16 "Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications" (marked-up version issued in May 2016)
002-201602/02/2012 (26/02/2016)Questions relating to Guidance Letter HKEX-86-16 "Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications" (marked-up version issued in February 2016)
Series 1831/08/2012 (21/12/2015)Questions relating to Environmental, Social and Governance Reporting (marked-up version issued in December 2015)
Series 3106/02/2015
(21/12/2015)
Questions relating to the Review of Listing Rules on Disclosure of Financial Information with reference to the New Companies Ordinance and Hong Kong Financial Reporting Standards and Proposed Minor/Housekeeping Rule Amendments (marked-up version issued in December 2015)
Series 3019/12/2014 (14/07/2015)Questions relating to the Risk Management and Internal Control section of the Corporate Governance Code (Effective for accounting periods beginning on or after 1 January 2016) (marked-up version issued in July 2015)
Series 1326/11/2010 (08/07/2015)Rules amendments relating to Mixed Media Offer (effective 1 February 2011) (marked-up version issued in July 2015)
Series 728/11/2008  (29/05/2015)Rule Requirements relating to Notifiable Transactions, Connected Transactions and Issues of Securities by Listed Issuers (marked-up version issued in May 2015)
Series 2821/03/2014 (29/05/2015)Rule Requirements Relating to Connected Transactions (effective 1 July 2014) (marked-up version issued in May 2015)
Series 2621/02/2014 (01/04/2015)Questions relating to the New Companies Ordinance and its impact on issuers (Effective from 3 March 2014) (marked-up version issued in April 2015)
Series 1913/12/2012
(01/04/2015)
Amendments to the Corporate Governance Code and Corporate Governance Report relating to Board Diversity (effective 1 September 2013) (marked-up version issued in April 2015)
Series 1719/12/2011 (01/04/2015)Review of the Corporate Governance Code and Associated Listing Rules (marked-up version issued in April 2015)
Series 1520/10/2011
(01/04/2015)
Rule amendments relating to property valuation requirements (effective 1 January 2012) (marked-up version issued in April 2015)
Series 828/11/2008 (01/04/2015)Rule Amendments relating to the 2008 Combined Consultation (marked-up version issued in April 2015)
Series 2321/06/2013 (17/10/2014)Disclosure of a new applicant’s unaudited net profits/ losses after its track record period in a listing document (marked-up version issued in October 2014)
Series 2028/02/2013 (01/07/2014)Rule Requirements relating to Notifiable Transactions, Connected Transactions, Mineral Companies, Issues of Securities and Corporate Governance Code (marked-up version issued in July 2014)
Series 1226/05/2010 (01/07/2014)Amendments relating to New Listing Rules for Mineral Companies (effective 3 June 2010) (marked-up version in July 2014)
Series 1120/05/2010 (01/07/2014)Rule Amendments relating to Circulars and Listing Documents of Listed Issuers (effective 3 June 2010) (marked-up version in July 2014)
Series 1020/05/2010 (01/07/2014)Amendments to Connected Transaction Rules (effective 3 June 2010) (marked-up version issued in July 2014)
Series 914/12/2009 (01/07/2014)Rule Requirements relating to Notifiable Transactions, Connected Transactions, Amendments to Articles of Association and Notices of Meeting (marked-up version issued in July 2014)
Series 502/05/2008 (31/10/2014)Rule Amendments relating to GEM Review (marked-up version issued in October 2014)
Series 609/05/2008 (17/04/2014)HKEx’s Framework for Depositary Receipts (HDRs) (marked-up version issued in April 2014)
Series 405/11/2007 (17/04/2014)Web Proof Information Pack (WPIP) (marked-up version issued in April 2014) (Withdrawn in July  2014)


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