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

13/10/17 Publication of Exchange’s Report on Listed Issuers’ Corporate Governance Practices and Third Director Training Webcasts
22/09/17 Consultation Papers on Capital Raisings by Listed Issuers and Delisting and Other Rule Amendments
21/07/17 Publication of the Exchange’s Biannual Enforcement Newsletter and Second Director Training Webcast
14/07/17 Publication of the Financial Statements Review Programme Report 2016
16/06/17 Consultation Paper on Review of Growth Enterprise Market (GEM) and Changes to the GEM and Main Board Listing Rules
15/05/17 Introducing the new Disclosure of Interests Online (DION) System
31/03/17 Invitation to view Director Training Webcast - Duties of Directors and the Role and Function of Board Committees
25/01/17 Publication of Review of Disclosure in Issuers’ Annual Reports to Monitor Rule Compliance – Report 2016
20/12/16 Reminder Regarding Corporate Disclosures
09/12/16 Exchange Launches Training for Company Directors
15/07/16 Publication of the Financial Statements Review Programme Report 2015
27/06/16 Revised publication window for publishing issuers’ documents on the Exchange’s website
17/06/16 Joint Consultation Paper on Proposed Enhancements to the Stock Exchange of Hong Kong Limited’s Decision-Making and Governance Structure for Listing Regulation
13/05/16 Publication of Analysis of Corporate Governance Practice Disclosure in March Year-end 2015 Annual Reports
15/02/16 Invitation to Issuer Seminars on Environmental, Social and Governance Reporting Guide
29/01/16 Publication of Review of Disclosure in Issuers’ Annual Reports to Monitor Rule Compliance – Report 2015
15/01/16 Liquidity Provision Interruptions and Pricing Issues
21/12/15 Consultation Conclusions on Review of the Environmental, Social and Governance Reporting Guide
06/11/15 Guidance on continuing obligations under Chapter 37 of the Listing Rules
21/08/15 Invitation to Issuer Seminars
17/07/15 Consultation Paper on Review of the Environmental, Social and Governance Reporting Guide
17/07/15 Publication of the Financial Statements Review Programme Report 2014
19/06/15 Consultation Conclusions to Concept Paper on Weighted Voting Rights
17/06/15 Guidance on use of a Mixed Media Offer
27/03/15 Publication of Review of Disclosure in Issuers’ Annual Reports to Monitor Rule Compliance – Report 2014
06/02/15 Consultation Conclusions on Review of Listing Rules on Disclosure of Financial Information with reference to the New Companies Ordinance and Hong Kong Financial Reporting Standards and Proposed Minor/Housekeeping Rule Amendments
19/12/14 Consultation Conclusions on Risk Management and Internal Control: Review of the Corporate Governance Code and Corporate Governance Report
29/08/14 Concept Paper on Weighted Voting Rights
22/08/14 Consultation Paper on Review of Listing Rules on Disclosure of Financial Information with reference to the New Companies Ordinance and Hong Kong Financial Reporting Standards and Proposed Minor/Housekeeping Rule Amendments
08/08/14 Request to Participate in ESG Reporting Survey
02/07/14 Guidance on Compliance with the Corporate Governance Code
30/06/14 Request to Participate in ESG Reporting Survey
20/06/14 Consultation Paper on Risk Management and Internal Control: Review of the Corporate Governance Code and Corporate Governance Report
03/04/14 ESG Training Webcasts
28/03/14 Publication of Review of Annual Report Disclosure to Monitor Issuers’ Rule Compliance – Report 2013
21/03/14 Invitation to Seminars
21/03/14 Rule amendments relating to connected transactions and the definitions of connected person and associate
14/03/14 Listing Rules Amendments relating to new headline categories
21/02/14 Publication of the Financial Statements Review Programme Report 2013
21/02/14 Listing Rules Amendments regarding annual listing fees in relation to the implementation of the New Companies Ordinance
26/04/13 Consultation Papers on Review of Connected Transaction Rules and Proposed Changes to Align the Definitions of Connected Person and Associate in the Listing Rules
22/03/13

Guidance on issuers’ Rule compliance based on the Exchange’s review of disclosure in issuers’ annual reports 

15/03/13 Consultation Conclusions on Trading Halts
01/03/13 Rule implications arising from the adoption of Hong Kong Financial Reporting Standard 10 / International Financial Reporting Standard 10
25/01/13 Publication of the Financial Statements Review Programme Report 2012
13/12/12 Consultation Conclusions on Board Diversity
30/11/12 Consultation Conclusions on rule changes consequential on the statutory backing of continuing obligation for listed companies to disclose inside information
07/09/12 Consultation Paper on Board Diversity
31/08/12 Consultation Conclusions on Environmental, Social and Governance Reporting Guide
03/08/12 Consultation Paper on rule changes consequential on the statutory backing of continuing obligation for listed companies to disclose inside information
27/07/12 Consultation Paper on Trading Halts
10/05/12 (Withdrawn on 11/12/2015) 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 (Withdrawn on 01/01/2013) 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 (Withdrawn on 11/12/2015) 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 (Withdrawn on 01/01/2013) 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 (Withdrawn on 15/6/2012; Superseded by GL37-12)

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" (Withdrawn on 15/6/2012; Superseded by GL37-12)

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 (Withdrawn on 24/1/2014)

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 (Withdrawn on 01/01/2013)

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 (Withdrawn on 15/6/2012; Superseded by GL37-12)

Guidance regarding indebtedness, liquidity, financial resources and capital structure disclosure in listing documents issued by new applicants (Withdrawn on 15/6/2012; Superseded by GL37-12)

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 (Updated on 14 March 2014)

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 (Withdrawn on 01/01/2013)

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 (Withdrawn on 01/01/2013)

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 (Withdrawn on 01/01/2013)

Rule Change Highlight - paragraph 2 of the Listing Agreement - price sensitive information

29/08/97 (Withdrawn on 01/01/2013)

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)