Regulatory Framework and Rules
Rules and Guidelines
Letters to Issuers (supplementary guidance on the Listing Rules and other listing-related matters)

Letters of continuing relevance

Date of Letters (dd/mm/yy) Date of Website Publication (mm/yy)

Particulars

01/08/08 08/08 2008 Combined Consultation Paper - implementation of minor Listing Rule amendments
21/07/08 07/08

Guidance regarding indebtedness, liquidity, financial resources and capital structure disclosure in listing documents issued by new applicants

14/07/08 07/08 Corporate Governance Practice Disclosure in 2007 Annual Reports
21/05/08 05/08 Alignment of operational hours of the Electronic Disclosure regime with the implementation of the closing auction session
04/02/08 02/08 Revised Policy on Suspensions Following Issuers' Publication of Announcements with Price Sensitive Information
04/02/08 02/08 HKEx launches its Designated Issuer Website (HKExnews website)
11/01/08 01/08 Combined Consultation Paper on Proposed Changes to the Listing Rules
27/07/07 07/07 Corporate Governance Practice Disclosure in 2006 Annual Reports
25/07/07 07/07 Reminder on selection of headlines under Electronic Disclosure
13/07/07 07/07 Guidance on disclosure when a listed issuer's director resigns
18/06/07 06/07 Suspension related matters under Electronic Disclosure
12/06/07 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 06/07 Information Gathering: Reminder concerning the availability of authorised representatives
11/05/07 05/07 Closure of books - Rule 13.66 of the Main Board Listing Rules and Rule 17.78 of the GEM Listing Rules
11/12/06 12/06 Briefing sessions on HKEx's e-Submission System (ESS)
20/11/06 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 10/06 Letter regarding abolition of Short-form Preliminary Results Announcements for Main Board and Growth Enterprise Market (GEM) Listed Issuers
07/07/06 07/06 New Model for information submission and dissemination by Main Board and Growth Enterprise Market (GEM) issuers
28/11/05 11/05 Suspension of Collection of Investor Compensation Levy
18/11/05 11/05 MB Rules and GEM Rules - Letter regarding publication of Exposure Paper entitled "Abolition of Requirement for Main Board Issuers to Publish Paid Announcements in Newspapers and Related Matters"
17/11/05 11/05 MB Rules and GEM Rules - Letter setting out guidance on dissemination of results announcements by listed issuers and associated media and analyst briefings
05/09/05 11/05 MB Rule 17.03(13) and GEM Rule 23.03(13) - Letter setting out supplementary guidance on what adjustments to the exercise price and number of share options comply with the Listing Rule requirements
17/06/05 11/05 MB Rule 13.74 and GEM Rule 17.46A - Letter regarding disclosure of directors proposed to be appointed or re-elected
28/10/04 11/05 MB Rule 13.09(2) -Letter  regarding publication of overseas regulatory announcement on the Exchange's website
17/05/04 11/05 MB Rules 13.13 to 13.15 - "No action" Letter regarding advances to entities made by Main Board listed banks
18/02/03 11/05 Letter regarding submission of soft copies for publication
19/03/02 11/05 Letter regarding introduction of a pre-opening session
06/02/02 11/05 Letter regarding reduction in printing requirements and related matters
21/01/02 11/05 Letter regarding submission of announcements by listed companies requiring clearance/comments by the Stock Exchange
18/05/01 11/05 MB Rules - Letter regarding dissemination of Main Board Issuers' announcements through the HKEx in place of publication as paid announcements in newspapers
16/05/00 11/05 MB Rules Appendix 16 - Letter regarding disclosure requirements for interim reports
07/04/99 11/05 Letter regarding notification of results announcements for any year, half-year or other period
09/11/98 11/05 Letter regarding notification of results announcements for any year, half-year or other period
04/03/98 11/05 Letter regarding 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 11/05 Letter regarding corporate communications to non-registered holders of securities upon request through Hong Kong Securities Clearing Company Limited
21/01/98 11/05 Letter regarding corporate communications to non registered holders of securities
11/12/97 11/05 Reminder of obligations under paragraph 2 of the Listing Agreement - price sensitive information
16/09/97 11/05 Letter regarding submission of monthly return on movement of listed securities
29/08/97 11/05 Rule Change Highlight-paragraph 2 of the Listing Agreement - price sensitive information
29/08/97 11/05 MB Rules - Letter regarding a 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 11/05 MB Rule 9.08 - Letter regarding publication materials under Rule 9.08