31/03/2023
(01/01/2024) |
Guidance on Specialist Technology Companies (GL115-23) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants / Listed Issuers
|
05/03/2021
(01/01/2024)
|
Pre-vetting for placing to connected clients in an initial public offering (GL110-21) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
29/04/2020
(01/01/2024)
|
Disclosure in listing documents for Biotech Companies (GL107-20) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
26/04/2019
(01/01/2024)
|
Guidance on accounting policies and stock-taking procedures performed by the reporting accountants (GL102-19) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
22/03/2019
(01/01/2024)
|
Guidance on Sanctions Risks (GL101-19) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
22/03/2019
(01/01/2024)
|
Guidance on competition between the businesses of a new applicant and its controlling shareholder (GL100-19) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
13/07/2018
(01/01/2024)
|
Guidance on assessment of a sponsor's independence (GL99-18) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
13/07/2018
(01/01/2024)
|
Guidance on disclosure in listing documents - listing applicants' names; statistics and data quoted; listing document covers; non-disclosure of confidential information; and material changes after trading record period (GL98-18) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
06/07/2018
(01/01/2024)
|
Guidance for new applicants in the internet technology sector or that have internet-based business models (GL97-18) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
30/04/2018
(01/01/2024)
|
(A) Suitability for Grandfathered Greater China Issuers and Non-Greater China Issuers that meet the conditions set out in Rule 8A.46 to list with weighted voting rights structure and (B) the Contractual Arrangements of Grandfathered Greater China Issuers and Non-Greater China Issuers (GL94-18) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
30/04/2018
(01/01/2024)
|
Suitability for an applicant (other than Grandfathered Greater China Issuers or Non-Greater China Issuers with a weighted voting rights structure applying for (i) a dual primary listing under Chapter 19 that meet the conditions set out in Rule 8A.46; or (ii) a secondary listing under Chapter 19C to list with a WVR structure in compliance with Chapter 8A (GL93-18) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
30/04/2018
(01/01/2024)
|
Suitability for Listing of Biotech Companies (GL92-18) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
02/02/2018
(01/01/2024)
|
Reallocation of shares from placing tranche to the public subscription tranche in an initial public offer (GL91-18) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
02/02/2018
(01/01/2024)
|
Pricing Flexibility for Initial Public Offerings (GL90-18) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
11/11/2016
(01/01/2024)
|
Guidance on issues related to "controlling shareholder" and related Listing Rules implications (GL89-16) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
02/02/2016
(01/01/2024)
|
Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications (GL86-16) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024) |
Guidance Letter
|
New Applicants
|
22/01/2016
(01/01/2024)
|
Placing to connected clients, and existing shareholders or their close associates, under the Rules (GL85-16) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
03/06/2015
(01/01/2024)
|
Guidance on Mixed Media Offer (GL81-15) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
03/06/2016
(01/01/2024)
|
Guidance on IPO vetting and suitability for listing (GL68-13A) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
06/12/2013
(01/01/2024)
|
Guidance on suitability for listing for new applicants (GL68-13) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
23/07/2013
(01/01/2024)
|
Guidance on disclosure of non-compliance incidents in listing documents (GL63-13) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
01/10/2013
(01/01/2024)
|
Guidance on accelerated procedures for reviewing a Listing Division's and/or Listing Committee’s decision to return a listing application (GL61-13) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
23/07/2013
(01/01/2024)
|
Guidance on the logistical arrangements for the submission and publication of Application Proofs, OC Announcements, Post Hearing Information Packs and related materials on the Exchange’s website (GL57-13) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
23/07/2013
(01/01/2024)
|
Guidance on (i) disclosure requirements for substantially complete Application Proofs; and (ii) publication of Application Proofs and Post Hearing Information Packs on the Exchange’s website (GL56-13) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
23/07/2013
(01/01/2024)
|
Guidance on Documentary Requirements and Administrative Matters for New Listing Applications (Equity) (GL55-13) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
23/04/2013
(01/01/2024)
|
Liquidity arrangements for issuers seeking to list by introduction where the securities to be listed are already listed on another stock exchange (GL53-13) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
26/03/2013
(01/01/2024)
|
Guidance for Mineral Companies (GL52-13) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
22/02/2013
(01/01/2024)
|
Cornerstone Investment – No Direct or Indirect Benefits to Cornerstone Investors other than Guaranteed Allocation at IPO price (GL51-13) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
07/12/2012
(01/01/2024)
|
Guidance on:
1. Unrealised fair value gains on valuation of biological assets for the purpose of trading record and profit requirements under Rule 8.05(1)(a)
2. Disclosure requirements for applicants with biological assets
3. Due diligence work expected to be performed by sponsor and other professional advisers on biological assets (GL46-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
26/11/2012
(01/01/2024)
|
Guidance on trading record and financial eligibility requirements and disclosure of certain financial information (GL45-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
25/10/2012
(01/01/2024)
|
Guidance on Pre-IPO investments in convertible instruments (GL44-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
25/10/2012
(01/01/2024)
|
Guidance on Pre-IPO investments (GL43-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
30/08/2012
(01/01/2024)
|
Guidance on Main Board Rule 9.09(b) in new listing cases (GL42-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
17/08/2012
(01/01/2024)
|
General principles for listing of business trusts and stapled securities (GL40-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
03/07/2012
(01/01/2024)
|
Hong Kong Depositary Receipts - Pre-release and Pre-cancellation (GL39-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
15/06/2012
(01/01/2024)
|
Guidance on disclosure on financial information and prospects of new applicants (GL37-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
17/05/2012
(01/01/2024)
|
Guidance on due diligence to be conducted by the sponsor and disclosure in the listing document relating to a distributorship business model (GL36-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
08/05/2012
(01/01/2024) |
Guidance on profit forecast and special dividend (GL35-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
25/04/2012
(01/01/2024)
|
Disclosure in listing documents relating to hard underwriting (GL34-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
16/01/2012
(01/01/2024)
|
Interim Guidance on Pre-IPO Investments (GL29-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
16/01/2012
(01/01/2024)
|
Disclosure in listing documents for applicants engaged in the restaurant business (GL28-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
03/01/2012
(01/01/2024)
|
Guidance on business models with significant forfeited income from prepayments (GL26-12) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
12/10/2011
(01/01/2024)
|
Conditions for waivers from strict compliance with Main Board Rule 4.04(1) and GEM Rules 7.03(1) and 11.10 (GL25-11) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
27/07/2010
(01/01/2024)
|
Guidance on disclosure of:
1. Land use right certificates and/or building ownership certificates for properties in the PRC
2. Properties with defective titles in the PRC and Hong Kong
3. Idle land in the PRC
4. Civil defense projects in the PRC
5. Land resettlement operations in the PRC (GL19-10) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter |
New Applicants
|
30/06/2010
(01/01/2024)
|
Guidance on publicity materials, e-IPO advertisements and Mixed Media Offer (GL18-10) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
28/05/2010
(01/01/2024)
|
Guidance for Chapter 21 companies (GL17-10) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
10/2009
(01/01/2024)
|
Guidance on application for exemptions from the Companies Ordinance (GL14-09) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
07/2009
(01/01/2024)
|
Conditions for a waiver from strict compliance with Main Board Rule 17.02(1)(b) and paragraph 27 of Appendix D1A regarding disclosure of pre-IPO share option schemes (GL11-09) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
07/2009
(01/01/2024)
|
Conditions for a waiver from strict compliance with Main Board Rules 8.12 and 19A.15 regarding sufficient management presence in Hong Kong (GL9-09) (Streamlined and incorporated into the Guide for New Listing Applicants in January 2024)
|
Guidance Letter
|
New Applicants
|
26/04/2019
(01/01/2024) |
Guidance for applicants on the presentation of the non-GAAP financial measures in a listing document and any relevant documents pursuant to the Exchange’s Listing Rules (GL103-19) (Superseded by new version issued in January 2024 (which is in line with the relevant guidance set out in the Guide for New Listing Applicants))
|
Guidance Letter
|
New Applicants / Listed Issuers
|
01/01/2022
(01/01/2024)
|
Guidance for Overseas Issuers (GL111-22) (Superseded by new version issued in January 2024 (which is in line with the relevant guidance set out in the Guide for New Listing Applicants))
|
Guidance Letter
|
New Applicants / Listed Issuers
|
01/01/2022
(01/01/2024)
|
Guidance Letter on Special Purpose Acquisition Companies (GL113-22) (Superseded by new version issued in January 2024 (which is in line with the relevant guidance set out in the Guide for New Listing Applicants))
|
Guidance Letter
|
New Applicants / Listed Issuers
|
7/11/2014
(01/01/2024)
|
Guidance on Documentary Requirements and Administrative Matters for Collective Investment Schemes ("CIS") Applications (GL79-14) (Superseded by new version issued in January 2024 (which is in line with the relevant guidance set out in the Guide for New Listing Applicants))
|
Guidance Letter
|
New Applicants / Listed Issuers
|
24/01/2014
(01/01/2024)
|
Gambling Activities Undertaken by Listing Applicants and/or Listed Issuers (GL71-14) (Superseded by new version issued in January 2024 (which is in line with the relevant guidance set out in the Guide for New Listing Applicants))
|
Guidance Letter
|
New Applicants / Listed Issuers
|
28/08/2020
(01/01/2024)
|
Experience and Qualification Requirements of a Company Secretary (GL108-20) (Superseded by new version issued in January 2024 (which is in line with the relevant guidance set out in the Guide for New Listing Applicants and includes examples of company secretaries that meet the experience requirement))
|
Guidance Letter
|
New Applicants / Listed Issuers
|
04/03/2022
(01/01/2024)
|
Guidance on the qualifications and obligations of a trustee / custodian regarding the operation of the escrow account of a SPAC (GL114-22) (Incorporated into the guidance letter GL113-22 (Guidance on special purpose acquisition companies))
|
Guidance Letter
|
New Applicants / Listed Issuers
|
06/09/2013
(01/01/2024)
|
Guidance for long suspended companies (GL66-13) (Withdrawn in January 2024)
|
Guidance Letter
|
Listed Issuers
|
| 01/10/2013 (01/10/2020) |
Guidance on Confirmations required on Expert Opinions in Application Proofs and subsequent draft listing documents (excluding any report, opinion or statement issued by the Reporting Accountant which is covered by Guidance Letter HKEx-GL58-13) (GL60-13) |
Guidance Letter |
New Applicants |
| 17/10/2014 (01/10/2020) |
Guidance on confirmations required on the accountants' report, pro forma financial information and profit forecast in Application Proofs and subsequent draft listing documents (GL58-13) |
Guidance Letter |
New Applicants |
| 28/03/2012 (01/10/2020) |
Guidance on the accounting and disclosure requirements for acquisitions of subsidiaries and businesses conducted during or after the trading record period (GL32-12) |
Guidance Letter |
New Applicants |
| 05/03/2012 (01/10/2020) |
Typhoon and rainstorm warning arrangements (GL31-12) |
Guidance Letter |
New Applicants |
| 22/10/2009 (01/10/2020) |
Pre-vetting of documents and announcements in IPO cases and post-vetting announcements relating to price stabilization actions (GL16-09)
|
Guidance Letter |
New Applicants |
| 07/2009 (01/10/2020) |
Conditions for a waiver from strict compliance with Main Board Rules 13.46 and/or 13.49(1) regarding the publication of first annual report and first annual result respectively (GL10-09) |
Guidance Letter |
New Applicants |
| 07/2009 (01/10/2020) |
Documentary requirements for refiling a listing application (a) more than six months after the date of the original listing application; or (b) where a sponsor has changed (GL7-09) |
Guidance Letter |
New Applicants |
| 22/10/2010 (28/02/2020) |
Pre-conditions for a waiver from the financial standards requirements for new applicant Mineral Companies under Main Board Rule 18.04 (GL22-10) |
Guidance Letter |
New Applicants |
21/12/2015
(01/10/2019)
|
Guidance on Cash Company Rules (GL84-15) (Withdrawn; superseded by HKEX-GL105-19 issued in October 2019) |
Guidance Letter |
Listed Issuers |
30/05/2014
(01/10/2019)
|
Guidance on application of reverse takeovers requirements under Rule 14.06(6) (GEM Rule 19.06(6)) (GL78-14) (Withdrawn; superseded by HKEX-GL104-19 issued in October 2019) |
Guidance Letter |
Listed Issuers |
| 13/08/2015 (26/04/2019) |
Disclosure of unaudited quarterly/interim financial information in the listing document where the new listing applicant or any of its subsidiaries is listed on another exchange (GL82-15) (Withdrawn; superseded by HKEX-GL45-12 issued in April 2019) |
Guidance Letter |
New Applicants |
| 15/06/2012 (26/04/2019) |
Guidance on the Latest Practicable Date and the Latest Date for Liquidity Disclosure in Listing Documents (GL38-12) (Withdrawn; superseded by HKEX-GL37-12 issued in April 2019) |
Guidance Letter |
New Applicants |
| 22/10/2009 (26/04/2019) |
Payment of special dividend based on a new applicant's estimated distributable profits for a period up to the day immediately before listing (GL15-09) (Withdrawn; superseded by HKEX-GL35-12 issued in April 2019) |
Guidance Letter |
New Applicants |
| 06/09/2013 (13/07/2018) |
Disclosure in listing documents for IPO cases — information in property valuation report and market report (GL65-13) (Withdrawn; superseded by GL56-13 issued in July 2018) |
Guidance Letter |
New Applicants |
| 01/10/2013 (13/07/2018) |
Guidance on the financial information for the trading record period expected in the first draft listing document for listing applications (GL6-09A) (Withdrawn; superseded by GL56-13 issued in July 2018) |
Guidance Letter |
New Applicants |
| 22/08/2012 (13/07/2018) |
Disclosure requirements for IPO cases — Disclosure of material changes in financial, operational and/ or trading position after trading record period (GL41-12) (Withdrawn; superseded by GL98-18 issued in July 2018) |
Guidance Letter |
New Applicants |
| 09/02/2012 (13/07/2018) |
Guidance on disclosure of Intellectual Property Rights in Listing Documents under Main Board Rule Appendix 1 and GEM Rule Appendix 1 (GL30-12) (Withdrawn; superseded by GL56-13 issued in July 2018) |
Guidance Letter |
New Applicants |
| 30/03/2011 (13/07/2018) |
Simplification Series — Disclosure requirements for IPO cases — Formal Notice (GL24-11) |
Guidance Letter |
New Applicants |
| 24/12/2010 (13/07/2018) |
Documentation requirements for IPO cases — facilitative procedures (GL23-10) (Withdrawn; superseded by GL55-13 issued in July 2018) |
Guidance Letter |
New Applicants |
| 22/10/2013 (13/07/2018) |
Sponsor's due diligence on nondisclosure of confidential information in the listing document (GL21-10) (Withdrawn; superseded by GL98-18 issued in July 2018) |
Guidance Letter |
New Applicants |
| 10/2009 (13/07/2018) |
Listing Document Covers (GL13-09) (Withdrawn; superseded by GL98-18 issued in July 2018) |
Guidance Letter |
New Applicants |
| 7/2009 (13/07/2018) |
Statistics and data quoted in prospectuses (GL8-09) (Withdrawn; superseded by GL98-18 issued in July 2018) |
Guidance Letter |
New Applicants |
| 4/2006 (13/07/2018) |
Guidance on assessment of a sponsor's independence (GL4-06) (Withdrawn; superseded by GL99-18 issued in July 2018) |
Guidance Letter |
New Applicants |
| 4/2006 (13/07/2018) |
Application of an exchange participant 8 to the Exchange for approval of publication of a summary form of IPO prospectus and other publicity materials for promoting the sale of IPO shares (GL3-06) |
Guidance Letter |
New Applicants |
| 4/2006 (13/07/2018) |
Procedures for assessing a sponsor's independence when a partnership is the controlling shareholder of the sponsor (GL2-06) (Withdrawn; superseded by GL99-18 issued in July 2018) |
Guidance Letter |
New Applicants |
| 12/01/2012 (13/05/2016) |
Simplification Series — Guidance on disclosure in listing documents for IPO cases — the "Summary and Highlights" section (GL27-12) |
Guidance Letter |
New Applicants |
| 17/04/2012 (13/05/2016) |
Disclosure in listing documents for IPO cases — Use of Proceeds (GL33-12) |
Guidance Letter |
New Applicants |
| 31/01/2013 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "Industry Overview" section (GL48-13) |
Guidance Letter |
New Applicants |
| 31/01/2013 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "History and Development" section (GL49-13) |
Guidance Letter |
New Applicants |
| 31/01/2013 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "Business" section (GL50-13) |
Guidance Letter |
New Applicants |
| 03/05/2013 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "Risk Factors" section (GL54-13) |
Guidance Letter |
New Applicants |
| 23/07/2013 (13/05/2016) |
Guidance on management discussion and analysis on the historical financial information ("MD&A") in listing documents (GL59-13) |
Guidance Letter |
New Applicants |
| 23/07/2013 (13/05/2016) |
Disclosure of Directors, Supervisors and Senior Management section in listing documents (GL62-13) |
Guidance Letter |
New Applicants |
| 23/07/2013 (13/05/2016) |
Simplification Series — Disclosure requirements for IPO cases — White and Yellow Application Forms and other application forms for designated subscribers and "How to Apply for Hong Kong Offer Shares" section in a prospectus (GL64-13) |
Guidance Letter |
New Applicants |
| 29/01/2014 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "Applicable Laws and Regulations" section (GL72-14) |
Guidance Letter |
New Applicants |
| 17/10/2014 (01/2016) |
Consents for placing of shares to connected clients who will hold the shares on behalf of independent third parties (GL75-14) |
Guidance Letter |
New Applicants |
| 04/2006 (08/2015) |
Disclosure of financial information in IPO prospectuses where the new listing applicants are also listed on an overseas exchange and the applicable rules and regulations of such foreign exchange require the applicants to publish such financial information (GL1-06) |
Guidance Letter |
New Applicants |
| 09/2009 (11/2014) |
Streamlined procedures for listing overseas companies (GL12-09) |
Guidance Letter |
New Applicants |
| 24/03/2014 (30/09/2014) |
Guidance on what constitutes a failure of the Initial 3-day Check (GL74-14) |
Guidance Letter |
New Applicants |
| 24/01/2014 (01/07/2014) |
Guide on Connected Transaction Rules (GL70-14) |
Guidance Letter |
New Applicants/ Listed Issuers |
| 07/2009 (06/02/2014) |
IPO-filing administrative practices for Main Board and GEM Applicants -Information in the first draft listing document – Acceptance for vetting (GL6-09)
(Withdrawn in February 2014; Superseded by GL6-09A issued in July 2013 and became effective on 1 October 2013) |
Guidance Letter |
New Applicants |
| 11/03/2003 (24/01/2014) |
Gambling Activities Undertaken by Listing Applicants and/or Listed Issuers
(Withdrawn on 24/01/2014; superseded by GL71-14 issued in January 2014) |
News Release |
New Applicants / Listed Issuers |
| 20/04/2012 (24/01/2014) |
Guide on Connected Transaction Rules
(Withdrawn on 24/01/2014; superseded by GL70-14 issued in January 2014) |
Guidelines |
New Applicants / Listed Issuers |
| 24/07/2009 (24/01/2014) |
Stock Exchange Publishes Guidance on its IPO Process |
Letter to Issuers |
New Applicants |
| 05/06/2009 (24/01/2014) |
Possible Waiver for Profit Test Requirement for Initial Listing Applicants on the Main Board |
News Release |
New Applicants |
| 01/2008 (24/01/2014) |
Pilot Pre-IPO Information Scheme Supports Hong Kong's Position as an International Financial Centre |
Exchange Newsletter |
New Applicants |
| 27/12/2007 (24/01/2014) |
Web Proof Information Packs Available Online in January |
News Release |
New Applicants |
| 05/11/2007 (24/01/2014) |
Earlier Disclosure of Information by IPO Applicants |
News Release |
New Applicants |
| 04/2007 (24/01/2014) |
Overview of Policy Statement on Issuers from Overseas Jurisdictions |
Exchange Newsletter |
New Applicants |
| 07/03/2007 (24/01/2014) |
SFC/HKEx Joint Policy Statement Regarding the Listing of Overseas Companies |
News Release |
New Applicants |
| 02/04/2003 (24/01/2014) |
Response to CSRC Abolishing the Requirement to review PRC Legal Opinions in respect of Overseas Incorporated Companies with Mainland Interests Seeking a Listing outside the Mainland |
News Release |
New Applicants |
| 13/10/1999 (24/01/2014) |
The period covered by the accountants reports in the listing documents for companies applying for listing on GEM |
News Release |
New Applicants |
| 27/07/2010 (20/12/2013) |
Matters to be considered by Germany incorporated listing applicants (GL20-10) (Withdrawn, superseded by Germany Country Guide) |
Guidance Letter |
New Applicants |
| 07/03/2007 (27/09/2013) |
Joint Policy Statement (Withdrawn in September 2013; Superseded by Joint Policy Statement Regarding the Listing of Overseas Companies (27 September 2013)) |
Guidelines |
New Applicants |
| 05/10/2009 (15/06/2012) |
Review of the liquidity disclosure in listing documents published after the issuance of "Guidance Regarding Indebtedness, Liquidity, Financial Resources and Capital Structure Disclosure in Listing Documents issued by New Applicants" (Withdrawn on 15 June 2012; Superseded by GL37-12) |
Letter to Issuers |
New Applicants |
| 21/07/2008 (15/06/2012) |
Guidance regarding indebtedness, liquidity, financial resources and capital structure disclosure in listing documents issued by new applicants (Withdrawn on 15 June 2012; Superseded by GL37-12) |
Letter to Issuers |
New Applicants |
| 07/2008 (10/2010) |
Guidance on the interpretation of the experience requirement of the directors and management of the issuer under Main Board Listing Rule 18.03 and the current standing of Listing Decision HKEx-LD9-3 (GL5-08)
(Withdrawn in October 2010; Superseded by GL22-10) |
Guidance Letter |
New Applicants |
| 05/1997 (06/2010) |
Publication materials under Rule 9.08 (Withdrawn; Superseded by GL18-10) |
Letter to Issuers |
New Applicants |
| 07/2003 (11/2009) |
Guideline Highlights New Listing Application Vetting Initiatives |
Exchange Newsletter |
New Applicants |