Rule 9.03(3)

- No figure for third financial year of track record period [LD34-1] [April 2003; see also LD43-4 First Quarter 2005; and LD46-4 July 2005]

- Whether the Exchange should accept a new Main Board listing application for vetting where the application was filed prior to 15th February 2005, contained financial accounts for years ended 31st December 2001, 20002, 2003 and six months ended 30th June 2003 and 2004, and the sponsor sought guidance from the Exchange in advance [LD43-4] [First Quarter 2005; see also LD46-4 July 2005]

- Whether the Exchange should accept a new Main Board listing application for vetting where the application was filed prior to 15th August 2005, contained financial accounts in audited form for the years ended 31st December 2002, 2003 and 2004, and the sponsor sought guidance from the Exchange in advance [LD46-4] [July 2005]

Rule 9.04

- Whether Company A could publish a prospectus in which the latest financial period reported on by the reporting accountants ended more than six months before the date of the prospectus in light of a revised hearing date established by the Exchange [LD39-3] [August 2004]

Rule 9.07

- Whether and under what conditions would Company A be allowed to revise the indicative offer price downwards after issue of the prospectus but before close of the offer [LD61-1] [July 2008]

Rule 9.09

- Whether a placing of Company A's shares to the Pre-IPO Investor prior to listing that met the technical requirements regarding disclosure, lock-up and public-float as memorialised in Listing Decision HKEx-LD36-1 complied with Listing Rules 2.03 and 9.09 (case 3) [LD55-3] [June 2006]

Rule 9.12

- Whether and under what circumstances could the domestic shares of Company X held by Company Y be listed on the Exchange as H shares and sold in the open market [LD56-1] [September 2006]

Rule 9.16(6)(b)

- IPO-shares being placed to investment funds - extent of information to be disclosed [LD33-1] [ February 2003]

- Whether, and under what circumstances, the Exchange should allow a new listing applicant to dispense with the filing of placee lists with respect to its IPO shares sold in public offers outside Hong Kong [LD48-4] [December 2005]