Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters

Purpose of the Guides

The following guidance materials are published to explain how the Exchange deals with certain listing-related matters and provide greater transparency of the regulatory process. It aims to promote a better understanding of the Exchange’s practices and procedures for handling listing-related matters and assist listed issuers in meeting their listing obligation.

Guidance Materials relating to Announcements of Listed Issuers

Guide on Practices and Procedures for Post-vetting Announcements of Listed Issuers and Handling Matters involving Trading Arrangements prior to Publication of Announcements (effective 1 January 2010) – This guide aims to assist listed issuers to understand how the Exchange monitors their compliance with the Listing Rules through review of announcements published by the listed issuers (i.e. post-vetting). It also gives guidance on the Rule requirement relating to disclosure of matters involving trading arrangements in announcements.

Guide on Pre-vetting Requirements and Selection of Headline Categories for Announcements (effective 1 January 2010) – This guide aims to identify: (i) whether particular announcements require pre-vetting under the Listing Rules and provides cross-references to the relevant listing rule requirements; and (ii) the generally applicable headline categories for particular announcements.

Interpretation of Listing Rules and Requests for Individual Guidance (issued 28 November 2008) – This guide describes the Exchange’s procedures on giving guidance to listed issuers on interpretation and application of the Listing Rules, including the information required to be provided by the listed issuer requesting individual guidance.

Waivers and Modifications of the Listing Rules (issued 28 November 2008) – This guide describes the Exchange’s approach in handling listed issuers’ applications for waivers and modifications of Listing Rule requirements and how such applications should be made by the issuers.

Guide on Trading Arrangements for Selected Types of Corporate Actions (issued 28 November 2008) (Last updated on 1 February 2010) – This guide outlines key issues and best practices in relation to schedule setting, provision of information and trading arrangements for selected types of corporate actions, including rights issue, open offer, share consolidation or sub-division, change of board lot, and change of company name or addition of Chinese name.

Guide on Disclosure of Record Date, Book Closure and Latest Time for Lodging Transfers of Shares (issued 28 November 2008) (Last updated on 1 February 2010) – This guide provides guidance and reference information to listed issuers in relation to the disclosure of book closure information.

Guide on Distribution of Dividends and Other Entitlements (issued 14 December 2009) (Last updated on 1 February 2010) - This guide aims to assist listed issuers in disclosing and making arrangements for distribution of dividends and other entitlements.

Checklists, Forms and Templates for Listing-related Matters (Last updated on 14 December 2009) – Checklists are provided to assist listed issuers in meeting specific Rule requirements when preparing announcements or other documents for various types of transactions or other corporate actions. In addition, listed issuers may refer to the forms and templates set out in this section for various listing-related matters specified in the Listing Rules.

Main Board Issuers

GEM Issuers

For the full set of the above guidance materials (except for checklists and forms) in PDF format, please download here.

For the full set of checklists and forms in PDF format, please download here (Main Board or GEM).

Disclaimer

The guides do not form part of the Listing Rules and do not in any way amend or vary a listed issuer’s obligations under the Listing Rules. In the event of any discrepancy between any of the contents of the guides and the Listing Rules, as amended and interpreted from time to time, the provisions of the Listing Rules prevail. In case of doubt, listed issuers or their advisers are encouraged to consult with the Exchange.