| 23/05/2012 |
Amendments to checklists and forms relating to the disclosure comments on listing expenses and disclosure of key financial ratios.
(CF100M, CF069M, SC001M, CF100G, CF045G & SC001G)
|
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 18/05/2012 |
Whether disclosures relating to the allegations in the complaint against certain person(s) whose surname(s) was/ were identical to those of Company A’s previous management members were adequate and whether a waiver from Rule 18.04 should be granted to Company A in view of the lack of a clear path to commercial production (LD31-2012) |
Interpretation> Listing Decisions |
| 17/05/2012 |
Guidance on distributorship business model - risks and disclosure in listing documents (GL36-12) |
Guidance Materials > IPO process and requirements |
| 10/05/2012 |
Continuous disclosure obligations of issuers |
Administrative Matters/Tools> Letter to Issuers |
| 08/05/2012 |
Guidance on profit forecast under Main Board Rules 9.11(10)(b) and 11.17, GEM Rule 14.29 (GL35-12) |
Guidance Materials > IPO process and requirements |
| 25/04/2012 |
Disclosure in listing documents relating to hard underwriting (GL34-12) |
Guidance Materials > IPO process and requirements |
| 20/04/2012 |
Guide on Connected Transaction Rules |
Guidance> Guidance Materials |
| 20/04/2012 |
Plain Language Guide on Connected Transaction Rules |
Administrative Matters/Tools> Letter to Issuers |
| 17/04/2012 |
Disclosure in listing documents for IPO cases – Use of Proceeds (GL33-12) |
Guidance Materials > IPO process and requirements |
| 12/04/2012 |
Whether Company A’s financial and operational reliance on Parent Company rendered Company A not suitable for listing - Main Board Rule 8.04; Paragraph 27A of Appendix 1A of the Rules (LD30-2012) |
Interpretation> Listing Decisions |
| 30/03/2012 |
Amendments to checklists and forms for new applicants as a result of rule amendments relating to valuation of properties (CF100M, CF069M, CF050M, CF052M, CF100G, CF045G, CF050G & CF052G) |
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 30/03/2012 |
Amendments to checklists for Main Board issuers as a result of rule amendments relating to valuation of properties (CF014M, CF015M, CF016M & CF021M) |
Administrative Matters/Tools> Listed Issuers > Main Board |
| 30/03/2012 |
Amendments to checklists for GEM issuers as a result of rule amendments relating to valuation of properties (CF008G, CF014G, CF015G, CF016G & CF021G) |
Administrative Matters/Tools> Listed Issuers > GEM Board |
| 30/03/2012 |
Revised Guide on Pre-vetting Requirements and Selection of Headline Categories for Announcement (effective 1 April 2012) |
Guidance> Guidance Materials |
| 30/03/2012 |
Update on issuance of debt securities to professional investors under Chapter 37 of the Main Board Listing Rules |
Administrative Matters/Tools> Letters to Issuers |
| 30/03/2012 |
Whether Company A’s proposed acquisition of the Target from Company B was a reverse takeover (LD29-2012) |
Interpretation> Listing Decisions |
| 30/03/2012 |
Whether the Exchange would grant a waiver to Company A from the requirements for an accountants’ report on the Target in the circular (LD28-2012) |
Interpretation> Listing Decisions |
| 29/03/2012 |
Amendments to checklists and forms relating to sponsor’s confirmations regarding: -
- PRC tax bureau documentation, CF048M & CF048G (Paragraph C item 16)
- Material licenses & material offences, CF048M (Paragraph G28 items i & j) CF048G (Paragraph G26 items k & l)
- Reporting Accountants’ attendance to stock takes no longer required, CF048G (Paragraph G26 item o)
(CF100M, CF069M, CF048M, CF100G, CF045G & CF048G)
|
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 28/03/2012 |
Amendments to checklists and forms to require the submission of profit forecast documentation as 15-day documents (CF100M, CF069M, CF027M) |
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 28/03/2012 |
Amendments to checklists and forms as the submission of sponsor’s confirmation letter on adoption of standard transfer form is no longer required (CF100M, CF069M, CF045M) |
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 28/03/2012 |
Guidance on the accounting and disclosure requirements for acquisitions of subsidiaries and businesses conducted during or after the trading record period under Main Board Rules 4.04(2), 4,04(4) and 4.05A, GEM Rule 7.03(2), 7.03(4) and 7.04A (GL32-12) |
Guidance Materials > IPO process and requirements |
| 12/03/2012 |
The basis for accepting Company X’s incorporation in the State of Maryland, USA under Chapter 19 of the Main Board Rules |
Interpretation > Listing Decision |
| 09/03/2012 |
Conditions for waivers from strict compliance with Main Board Rule 4.04(1) (GL25-11) (Updated in November 2011 and March 2012) |
Guidance Materials > IPO process and requirements |
| 08/03/2012 |
Amendments to checklists and forms relating to standard comments on sufficiency of working capital and summary section in listing documents (CF100M, CF069M, SC001M, CF100G, CF045G & SC001G) |
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 05/03/2012 |
Guidance on typhoon and rainstorm warning arrangements (GL31-12) |
Guidance Materials > IPO process and requirements |
| 29/02/2012 |
Whether Company A could seek a prior mandate from its shareholders for conducting a rights issue under Rule 7.19(6) (LD26-2012) |
Interpretation> Listing Decisions |
| 29/02/2012 |
Whether Company A’s proposal to issue rights shares under a general mandate would comply with the Listing Rules (LD25-2012) |
Interpretation> Listing Decisions |
| 27/02/2012 |
Whether the Exchange would consider Alberta an acceptable jurisdiction of an issuer’s incorporation (Revised Listing Decision LD11-2011) |
Interpretation > Listing Decision |
| 21/02/2012 |
Amendments to checklists and forms to include Compliance Advisor in the New listing particulars (CF100M, CF060M & CF069M) |
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 14/02/2012 |
Amendments to checklists and forms relating to repeal of Rule 8.21B (CF100M, CF049M & CF069M) |
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 10/02/2012 |
Whether the Exchange would consider the State of Delaware an acceptable jurisdiction under Chapter 19 of the Main Board Listing Rules and Chapter 24 of the GEM Listing Rules |
Interpretation > Listing Decision |
| 09/02/2012 |
Guidance on disclosure of Intellectual Property Rights in Listing Documents under Main Board Rule Appendix 1 and GEM Rule Appendix 1 (GL30-12) |
Guidance Materials > IPO process and requirements |
| 31/01/2012 |
Amendments to the Main Board Listing Rules relating to Repeal of Rule 8.21B (effective 1 February 2012) |
The Rules and Procedures > Rules Updates > Amendments to Main Board Listing Rules |
| 30/01/2012 |
Revised publication window for issuers’ documents through the HKExnews website and enhancement to e-Submission System for publication of issuer’s documents |
Administrative Matters/Tools> Letters to Issuers
|
| 20/01/2012 |
Corporate Governance Code and Rule Amendments (Simplified Chinese version only) < View Webcast - Putonghua version only) > (January 2012) |
Guidance > Presentation Materials |
| 20/01/2012 |
Other Recent Rule Amendments and Practical Compliance Issues for Listed Issuers (Simplified Chinese version only) < View Webcast - Putonghua version only > (January 2012) |
Guidance > Presentation Materials |
| 16/01/2012 |
Interim Guidance on Pre-IPO Investments (reproduction of HKEx News Release dated 13 October 2010) (GL29-12) |
Guidance Materials > IPO process and requirements |
| 16/01/2012 |
Guidance on disclosure in listing documents for applicants engaged in the restaurant business under Main Board Rules 2.13(2) and 11.07 and GEM Rules 14.08(7) and 17.56(2) (GL28-12) |
Guidance Materials > IPO process and requirements |
| 12/01/2012 |
Guidance on disclosure in listing documents for IPO cases – the “Summary and Highlights” section under Main Board Rules 2.13 and 11.07 and GEM Rules 14.08(7) and 17.56 (GL27-12) |
Guidance Materials > IPO process and requirements |
| 10/01/2012 |
Revised Guide on Pre-vetting Requirements and Selection of Headline Categories for Announcements |
Guidance> Guidance Materials |
| 10/01/2012 |
Amendments to Main Board Issuer Checklists Relating to Circular for Connected Transaction, Major Acquisition/ Very Substantial Acquisition and Major Realisation/Very Substantial Disposal and Listing Document for Reverse Takeover (CF014M, CF015M, CF016M) |
Administrative Matters/Tools> Listed Issuers > Main Board |
| 10/01/2012 |
Amendments to GEM Issuer Checklists Relating to Circular for Connected Transaction, Major Acquisition/ Very Substantial Acquisition and Major Realisation/Very Substantial Disposal and Listing Document for Reverse Takeover (CF08G, CF014G, CF015G, CF016G) |
Administrative Matters/Tools> Listed Issuers >GEM Board |
| 03/01/2012 |
Guidance on business models with significant forfeited income from prepaid packages under Main Board Rules 8.04 and 8.05(1) and GEM Rule 11.06 (GL26-12) |
Guidance Materials > IPO process and requirements |
| 30/12/2011 |
Whether the Exchange would allow Company A to resume trading when it had restored the public float to 15 per cent (LD23-2011) |
Interpretation> Listing Decisions |
| 30/12/2011 |
Whether the Manager was a connected person of Company A because it held shares in Company A for its clients (LD22-2011) |
Interpretation> Listing Decisions |
| 20/12/2011 |
Listed company information dissemination and related trading arrangements in the event of interruption to the HKExnews website service or the information dissemination system |
Administrative Matters/Tools> Letters to Issuers |
| 19/12/2011 |
Corporate Governance Code and Rule Amendments < View Webcast > (November – December 2011) |
Guidance > Presentation Materials |
| 19/12/2011 |
Other Recent Rule Amendments and Practical Compliance Issues for Listed Issuers < View Webcast > (November – December 2011) |
Guidance > Presentation Materials |
| 12/12/2011 |
Electronic Submission of Correspondence to the Listing Division |
Administrative Matters/Tools> Letters to Issuers |
| 09/12/2011 |
Consultation Paper on Environmental, Social and Governance Reporting Guide |
Administrative Matters/Tools> Letters to Issuers |
| 02/12/2011 |
IPO-filing administrative practices-Information in the first draft listing document – Acceptance for vetting |
Guidance Materials > IPO process and requirements |
| 01/12/2011 |
Revised Logistical Arrangements for Posting WPIP on the HKEx Website (updated in December 2011) |
Administrative Matters/Tools/Administrative Matters |
| 30/11/2011 |
Whether the Exchange would accept Company A’s proposed alternative size tests to classify its disposal of interest in the Target as a discloseable transaction instead of a very substantial disposal (LD21-2011) |
Interpretation> Listing Decisions |
| 30/11/2011 |
Whether the Exchange would disregard the consideration ratio for Company A’s disposal of interest in the Target under the offer and classify it as a major transaction instead of a very substantial disposal (LD20-2011) |
Interpretation> Listing Decisions |
| 25/11/2011 |
Whether, in view of the fact that, in the conduct of its business in the PRC, Company A was a party to a number of contract-based structures (“Contractual Arrangements”) between or among Company A, the PRC Subsidiaries, the OPCOs and the Registered Owners, Company A was unsuitable for listing due to legal questions associated with the Contractual Arrangements (LD43-3) (updated in November 2011) |
Interpretation> Listing Decisions |
| 10/11/2011 |
Conditions for waivers from strict compliance with Main Board Rule 4.04(1) (GL25-11) (Updated in November 2011) |
Guidance Materials > IPO process and requirements |
| 07/11/2011 |
Amendments to IPO Checklists relating to standard comments (CF100M, CF069M, SC001M, CF100G, CF045G, SC001G) |
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 28/10/2011 |
Revised Authorised Representatives/ Company Secretary Form for Main Board issuers |
Administrative Matters/Tools> Listed Issuers > Main Board |
| 28/10/2011 |
Revised Authorised Representatives/ Compliance Officer/ Company Secretary Form for GEM issuers |
Administrative Matters/Tools> Listed Issuers >GEM Board |
| 28/10/2011 |
Amendments to IPO Checklists - relating to standard comments and Authorised Representatives / Company Secretary form (CF100M, CF069M, SC001M, FF001M, CF100G, CF045G, SC001G, FF001G) |
Administrative Matters/Tools> Checklists and Forms > New Applicants |
| 28/10/2011 |
Amendments to the Main Board Listing Rules relating to the Corporate Governance Code and associated Listing Rules |
The Rules and Procedures > Rules Updates > Amendments to Main Board Listing Rules |
| 28/10/2011 |
Amendments to the GEM Listing Rules relating to the Corporate Governance Code and associated Listing Rules |
The Rules and Procedures > Rules Updates > Amendments to GEM Listing Rules |
| 21/10/2011 |
Amendments to the Main Board Listing Rules relating to Debt Issues for Professional Investors Only |
The Rules and Procedures > Rules Updates > Amendments to Main Board Listing Rules |
| 21/10/2011 |
Amendments to the GEM Listing Rules relating to Debt Issues for Professional Investors Only |
The Rules and Procedures > Rules Updates > Amendments to GEM Listing Rules |
| 20/10/2011 |
SFC, HKEx to streamline property valuation requirements for applicants and issuers |
Administrative Matters/Tools> Letters to Issuers |
| 12/10/2011 |
Conditions for waivers from strict compliance with Main Board Rule 4.04(1) (GL25-11) |
Guidance Materials > IPO process and requirements |
| 06/10/2011 |
Amendments to IPO Checklists relating to standard comments on publication of Interim Report (CF100M, CF069M，SC001M) |
Administrative Matters/Tools> Checklists and Forms > New Applicants |