Letters to Issuers

This series comprises a selection of letters to issuers providing supplementary guidance on the Listing Rules and other listing matters, reminders of the relevant requirements and/or notifications of the Listing Rule developments.

Date(dd/mm/yyyy)	Particulars
10/05/12	Continuous disclosure obligations of issuers
20/04/12	Plain Language Guide on Connected Transaction Rules
30/03/12	Update on issuance of debt securities to professional investors under Chapter 37 of the Main Board Listing Rules
30/01/12	Revised publication window for issuers’ documents through the HKExnews website and enhancement to e-Submission System for publication of issuer’s documents
20/12/11	Listed company information dissemination and related trading arrangements in the event of interruption to the HKExnews website service or the information dissemination system
12/12/11	Electronic Submission of Correspondence to the Listing Division
09/12/11	Consultation Paper on Environmental, Social and Governance Reporting Guide
28/10/11	Publication of Consultation Conclusions and Listing Rule Amendments on Review of the Corporate Governance Code and Associated Listing Rules
20/10/11	SFC, HKEx to streamline property valuation requirements for applicants and issuers
09/08/11	Recent market conditions and the disclosure obligations of listed issuers
25/07/11	Reminder to exercise caution when approached by individuals posing as Listing Division staff
04/07/11	Tax arrangements on dividends paid to Hong Kong residents by Mainland companies
30/06/11	Policy on Share Trading Suspension
20/05/11	Publication of Consultation Conclusions and Listing Rule Amendments on Ex-entitlement Trading and Shareholder Approval
28/01/11	Listing Rule Amendments relating to changes in trading hours
26/01/11	Letter on use of Mixed Media Offer
21/01/11	Publication of consultation conclusions and Listing Rules amendments on requirements for Qualified Property Acquisitions and formation of joint ventures
21/01/11	New guidelines on publication of overseas regulatory announcements
21/01/11	Consultation Conclusions Paper on Proposed Change to Minimum Shareholder Requirement for the Market Capitalisation/Revenue Test
17/12/10	Consultation Paper on Ex-entitlement Trading and Shareholder Approval
17/12/10	Consultation Paper on Review of the Code on Corporate Governance Practices and Associated Listing Rules
10/12/10	Publication of Consultation Conclusions and Listing Rule amendments on acceptance of Mainland accounting and auditing standards and Mainland audit firms
03/12/10	Consultation begins on proposals to streamline property valuation requirements
18/11/10	Circular to Management Companies of SFC-authorised Exchange Traded Funds - List of Potential Events Triggering Ongoing Disclosure
30/09/10	Directors' Compliance with the Model Code
24/09/10	Publication of guidance material on general meetings
10/09/10	Consultation Paper on Proposed Change to Minimum Shareholder Requirement for the Market Capitalisation/Revenue Test
10/09/10	Proposed changes to requirements for Qualified Property Acquisitions and formation of joint ventures
20/05/10	Publication of consultation conclusions and Listing Rule amendments
18/12/09	Rule amendments to implement the proposals to accelerate rights issues and open offers
14/12/09	Publication of guidance materials on Listing Rules and corporate actions
23/11/09	Clarification of continuing obligations of authorised collective investment schemes listed under Chapter 20 of the Main Board Listing Rules
30/10/09	Phase 2 of New Post-vetting Regime
05/10/09	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"
02/10/09	(1) Consultation Paper on Proposed Changes to the Connected Transaction Rules (2) Rule amendments to streamline the filing and checklist requirements for listing of equity securities
18/09/09	Proposed changes to the requirements for circulars and listing documents of listed issuers
11/09/09	Consultation Paper on New Listing Rules for Mineral and Exploration Companies
31/07/09	Proposals to accelerate rights issues and open offers
31/07/09	Rule amendments to implement the proposal under Issue 15 (self-construction of assets) of the 2008 Combined Consultation Paper
24/07/09	Stock Exchange publishes guidance on its IPO process
26/06/09	Proposals to streamline the filing and checklist requirements for the listing of equity securities
13/03/09	Modification of the "Black Out" period extension - new rule effective 1 April 2009
31/12/08	Deferral of the extension of the "Black Out" period
15/12/08	Submission of revised undertakings by existing directors and updates of personal data of directors and supervisors
28/11/08	Post-vetting of listed issuers' announcements and new requirements for disclosure of changes in issued share capital of listed issuers
31/10/08	Recent economic developments and the disclosure obligations of listed issuers
01/08/08	2008 Combined Consultation Paper - implementation of minor Listing Rule amendments
21/07/08	Guidance regarding indebtedness, liquidity, financial resources and capital structure disclosure in listing documents issued by new applicants
14/07/08	Corporate Governance Practice Disclosure in 2007 Annual Reports
21/05/08	Alignment of operational hours of the Electronic Disclosure regime with the implementation of the closing auction session
04/02/08	Revised Policy on suspensions following issuers' publication of announcements with price sensitive information
04/02/08	HKEx launches its Designated Issuer Website (HKExnews website)
11/01/08	Combined Consultation Paper on Proposed Changes to the Listing Rules
27/07/07	Corporate Governance Practice Disclosure in 2006 Annual Reports
25/07/07	Reminder on selection of headlines under Electronic Disclosure
13/07/07	Guidance on disclosure when a listed issuer's director resigns
18/06/07	Suspension related matters under Electronic Disclosure
12/06/07	Clarification of formal reporting requirements for profit forecasts by Main Board issuers and obligations of Main Board and GEM issuers on the release of price sensitive information
04/06/07	Information Gathering: Reminder concerning the availability of authorised representatives
11/05/07	Closure of books – MB Rule 13.66 and GEM Rule 17.78
11/12/06	Briefing sessions on HKEx's e-Submission System (ESS)
20/11/06	New model for information submission and dissemination by Main Board and Growth Enterprise Market (GEM) issuers - e-Submission System registration/reregistration
23/10/06	Abolition of Short-form Preliminary Results Announcements for Main Board and Growth Enterprise Market (GEM) Listed Issuers
07/07/06	New Model for information submission and dissemination by Main Board and Growth Enterprise Market (GEM) issuers
28/11/05	Suspension of Collection of Investor Compensation Levy
18/11/05	Publication of Exposure Paper entitled "Abolition of Requirement for Main Board Issuers to Publish Paid Announcements in Newspapers and Related Matters"
17/11/05	Guidance on dissemination of results announcements by listed issuers and associated media and analyst briefings
05/09/05	MB Rule 17.03(13) and GEM Rule 23.03(13) - Supplementary guidance on adjustments to the exercise price and number of share options under the Listing Rule requirements
17/06/05	MB Rule 13.74 and GEM Rule 17.46A - Disclosure of directors proposed to be appointed or re-elected
28/10/04 (Withdrawn; Superseded by the letter to issuers "New guidelines on publication of overseas regulatory announcements" issued on 21 January 2011)	MB Rule 13.09(2) - Publication of overseas regulatory announcement on the Exchange's website (Withdrawn; Superseded by the letter to issuers "New guidelines on publication of overseas regulatory announcements" issued on 21 January 2011)
17/05/04	MB Rules 13.13 to 13.15 - "No action" Letter regarding advances to entities made by Main Board listed banks
18/02/03	Submission of soft copies for publication
19/03/02	Introduction of a pre-opening session
06/02/02	Reduction in printing requirements and related matters
21/01/02	Submission of announcements by listed companies requiring clearance/comments by the Stock Exchange
18/05/01	MB Rules - Dissemination of Main Board Issuers' announcements through the HKEx in place of publication as paid announcements in newspapers
16/05/00	MB Rules Appendix 16 - Disclosure requirements for interim reports
07/04/99	Notification of results announcements for any year, half-year or other period
09/11/98	Notification of results announcements for any year, half-year or other period
04/03/98	Notification to Hong Kong Securities Clearing Company Limited in respect of certain corporate activities which may affect the eligibility of listed securities in CCASS
10/02/98	Corporate communications to non-registered holders of securities upon request through Hong Kong Securities Clearing Company Limited
21/01/98	Corporate communications to non registered holders of securities
11/12/97	Reminder of obligations under paragraph 2 of the Listing Agreement - price sensitive information
16/09/97	Submission of monthly return on movement of listed securities
29/08/97	Rule Change Highlight - paragraph 2 of the Listing Agreement - price sensitive information
29/08/97	MB Rules - Reminder to listed issuers that any change in the application of proceeds from that originally disclosed may constitute price sensitive information under paragraph 2 of the Listing Agreement
16/05/97(Withdrawn on 30/6/2010; Superseded by GL18-10)	Publication materials under Rule 9.08 (Withdrawn; Superseded by GL18-10)