Latest Releases 

This section contains hyperlinks to materials published under “Rules and Guidance on Listing Matters” in the last 6 months. 

Release Date(dd/mm/yyyy)

Particulars

Section

13/10/2017 Whether Company A was no longer suitable for listing (LD114-2017) The Rules, Interpretation and Guidance > Listing Decisions
13/10/2017 Whether the Exchange would impose additional requirements under Rule 2.04 on Company A’s proposed disposal of its original business (LD113-2017) The Rules, Interpretation and Guidance > Listing Decisions
13/10/2017 Whether Company A would have sufficient operations or assets under Rule 13.24 after a proposed major disposal (LD112-2017) The Rules, Interpretation and Guidance > Listing Decisions
13/10/2017 Whether the Exchange would exercise its power to deem Company B as a connected person of Company A under Main Board Listing Rule 14A.19 (LD111-2017) The Rules, Interpretation and Guidance > Listing Decisions
13/10/2017 Letter to issuers on Analysis of Listed Issuers’ 2016 Corporate Governance Practices and Launches Third Director Training Webcasts Administrative Matters/ Tools > Letters to issuers
13/10/2017 Guidance on issues related to "controlling shareholder" and related Listing Rules implications (GL89-16) (Updated in October 2017) The Rules, Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
03/10/2017 Director Training Webcast – Corporate Governance – Director and Company Secretary’s Roles (October 2017) Rules & Regulations > Rules and Guidance on Listing Matters > Presentation Materials
22/09/2017 Consultation Papers on Capital Raisings by Listed Issuers and Delisting and Other Rule Amendments Administrative Matters/Tools> Letters to Issuers
11/08/2017 Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications (GL86-16) (Updated in May, September 2016 and August 2017) The Rules, Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
11/08/2017 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) (Updated in September 2013, February, March, June and September 2014, August 2015, May and November 2016 and August 2017) The Rules, Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
14/07/2017 Financial Statements Review Programme - Report 2016 Other Guidance Materials for Listed Issuers > Financial reporting matters
30/06/2017 Director Training Webcast – Risk Management and Internal Control, ESG Reporting (June 2017) Rules & Regulations > Rules and Guidance on Listing Matters > Presentation Materials
02/06/2017 Whether the Exchange would commence the procedures to cancel the listing of Company A whose shares had been suspended for a prolonged period due to insufficient public float (LD110-2017) The Rules, Interpretation and Guidance > Listing Decisions
02/06/2017 Whether Company A would be required to aggregate the proposed acquisition with a previous acquisition, and whether these acquisitions would constitute a reverse takeover (LD109-2017) The Rules, Interpretation and Guidance > Listing Decisions
02/06/2017 Whether Company A’s proposed acquisition of the Target constituted a reverse takeover or an extreme VSA (LD108-2017) The Rules, Interpretation and Guidance > Listing Decisions
19/05/2017 To provide guidance on why the Exchange rejected certain listing applications (LD107-2017) The Rules, Interpretation and Guidance > Listing Decisions
19/05/2017 To provide guidance on why the Exchange returned certain listing applications (LD106-2017) The Rules, Interpretation and Guidance > Listing Decisions
28/04/2017 Whether Company A has a sufficient level of operations or assets to meet GEM Rule 17.26 The Rules, Interpretation and Guidance > Listing Decisions
31/03/2017 Director Training Webcast - Duties of Directors and the Role and Function of Board Committees (March 2017) Rules & Regulations > Rules and Guidance on Listing Matters > Presentation Materials
31/03/2017 Invitation to view Director Training Webcast - Duties of Directors and the Role and Function of Board Committees Rules & Regulations > Rules and Guidance on Listing Matters > Letters to Issuers
17/03/2017 Country Guide on Israel (March 2017) Rules and Guidance on Listing Matters > Special Topics > Listing of Overseas Companies> List of Acceptable Overseas Jurisdictions
10/03/2017 Guidance on Pre-IPO investments in convertible instruments (GL44-12) (Updated in March 2017) The Rules, Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
10/03/2017 Guidance on Pre-IPO investments (GL43-12) (Updated in July 2013 and March 2017) The Rules, Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
10/03/2017 Interim Guidance on Pre-IPO Investments (reproduction of HKEX News Release dated 13 October 2010) (GL29-12) (Updated in March 2017) The Rules, Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
10/03/2017 Sponsor's due diligence on non-disclosure of confidential information in the listing document (GL21-10) (Updated in July 2013 and March 2017) The Rules, Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
10/03/2017

Guidance on Documentary Requirements and Administrative Matters for Collective Investment Schemes ("CIS") Applications (GL79-14) (Updated in November 2014, July and November 2015, June 2016 and March 2017)

The Rules, Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants