New and Revised Guidance Letters for Rule Changes to Complement New Sponsor Regulation 
 

New Guidance Letters

Date(dd/mm/yyyy)

Particulars

Document Type

Content Category

30/09/2014

Guidance on what constitutes a failure of the Initial 3-day Check (GL74-14)

(Withdrawn in September 2014 due to discontinuation of 3-Day Check after 30 September 2014)

Guidance Letter New Applicants
01/10/2013 Guidance on disclosure of material non-compliance incidents in listing documents (GL63-13) Guidance Letter New Applicants
01/10/2013 Disclosure of Directors, Supervisors and Senior Management section in listing documents (GL62-13) (Updated in January and March 2014) Guidance Letter New Applicants
30/09/2014 Guidance on accelerated procedures for reviewing a Listing Division and Listing Committee’s decision to return a listing application (GL61-13) (Updated in September 2014) Guidance Letter New Applicants
30/09/2014 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) (Updated in September 2014) Guidance Letter New Applicants
01/03/2014 Guidance on management discussion and analysis on the historical financial information  (“MD&A”) in listing documents  (GL59-13) (Updated in March 2014) Guidance Letter New Applicants
17/10/2014 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) (Updated in September and October 2014) Guidance Letter New Applicants
30/09/2014 Guidance on logistical arrangements for publication of Application Proofs, Post Hearing Information Packs (“PHIP”) and related materials on the Exchange’s Website for listing applicants (GL57-13) (Updated in September 2013 and February, March, June and September 2014) Guidance Letter New Applicants
30/09/2014 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 and February, March, June and September 2014) Guidance Letter New Applicants
01/10/2013 Guidance on Documentary Requirements and Administrative Matters for New Listing Application (Equity) (GL55-13) (Updated in September 2013, February and March 2014) Guidance Letter New Applicants
01/10/2013 Guidance on the financial information for the trading record period expected in the first draft listing document for listing applications (GL6-09A) (Updated in January and May 2014) Guidance Letter New Applicants

  

Revised Guidance Letters 

Date(dd/mm/yyyy)

Particulars

Document Type

Content Category

23/04/2013 Guidance on liquidity arrangements for issuers seeking to list by introduction where the securities to be listed are already listed on another stock exchange (GL53-13) (Updated in July 2013) Guidance Letter New Applicants
26/03/2013 Disclosure in listing documents for applicant mineral companies that the Exchange normally expects and to address comments raised by the Exchange and the SFC in the vetting of previous listing applications (GL52-13) (Updated in July 2013) Guidance Letter New Applicants
31/01/2013 Simplification Series - Disclosure in listing documents for IPO cases – the “Business” section (GL50-13) (Updated in July 2013 and March 2014) Guidance Letter New Applicants
31/01/2013 Simplification Series - Disclosure in listing documents for IPO cases – the “History and Development” section (GL49-13) (Updated in July 2013) Guidance Letter New Applicants
31/01/2013 Simplification Series - Disclosure in listing documents for IPO cases – the “Industry Overview” section  (GL48-13) (Updated in July 2013 & January 2014) Guidance Letter New Applicants
15/06/2012 Guidance on the Latest Practicable Date and the Latest Date for Liquidity Disclosure in listing documents (GL38-12) (Updated in July, September 2013 and March 2014) Guidance Letter New Applicants
15/06/2012 Guidance on indebtedness, liquidity, financial resources and capital structure disclosure in listing documents and sponsor’s confirmation on working capital sufficiency statement (GL37-12) (Updated in July & September 2013) Guidance Letter New Applicants
08/05/2012 Guidance on profit forecast under Main Board Rules 9.11(10)(b) and 11.17, GEM Rules 12.22(14b) and 14.29 (GL35-12) (Updated in July 2013) Guidance Letter New Applicants
17/04/2012 Disclosure in listing documents for IPO cases – Use of Proceeds (GL33-12) (Updated in July 2013 and March 2014) Guidance Letter New Applicants
12/01/2012 Simplification Series - Disclosure in listing documents for IPO cases – the "Summary and Highlights" section (GL27-12) (Updated in June, July and November 2013, January and April 2014, January and June 2015)

Guidance Letter

New Applicants
24/12/2010 Documentation requirements for IPO cases - facilitative procedures (GL23-10) (Updated in July 2013)

Guidance Letter

New Applicants
22/10/2010 Sponsor's due diligence on non-disclosure of confidential information in the listing document (GL21-10) (Updated in July 2013)

Guidance Letter

New Applicants
30/06/2010 Guidance on publicity materials and e-IPO advertisements (GL18-10) (Updated in July 2013 and March 2014)

Guidance Letter

New Applicants
10/2009 Listing Document Covers (GL13-09) (Updated in July 2013 and March 2014)

Guidance Letter

New Applicants
07/2009 Statistics and data quoted in prospectuses (GL8-09) (Updated in July 2013)

Guidance Letter

New Applicants
07/2009 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) (Updated on 10 September 2010 and July 2013)

Guidance Letter

New Applicants
04/2006 Guidance on assessment of a sponsor's independence (GL4-06) (Updated in July 2013)

Guidance Letter

New Applicants