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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30/09/2014 Guidance on what constitutes a failure of the Initial 3-day Check (GL74-14) (Withdrawn in September 2014 due to discontinuation of 3-Day Check after 30 September 2014)Guidance LetterNew Applicants
01/10/2013Guidance on disclosure of material non-compliance incidents in listing documents (GL63-13) (Updated in September 2013, May 2014 and May 2016)Guidance LetterNew Applicants
01/10/2013Disclosure of Directors, Supervisors and Senior Management section in listing documents (GL62-13) (Withdrawal in May 2016, superseded by GL86-16)Guidance LetterNew Applicants
30/09/2014Guidance 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 LetterNew Applicants
30/09/2014Guidance 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 LetterNew Applicants
01/03/2014Guidance on management discussion and analysis on the historical financial information  (“MD&A”) in listing documents  (GL59-13) (Withdrawal in May 2016, superseded by GL86-16)Guidance LetterNew Applicants
17/10/2014Guidance 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 LetterNew Applicants
30/09/2014Guidance 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 February, March, June and September 2014 and November 2016)Guidance LetterNew Applicants
30/09/2014Guidance 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, August 2015, May and November 2016)Guidance LetterNew Applicants
01/10/2013Guidance on Documentary Requirements and Administrative Matters for New Listing Application (Equity) (GL55-13) (Updated in September 2013, February and March 2014 and December 2016)Guidance LetterNew Applicants
01/10/2013Guidance on the financial information for the trading record period expected in the first draft listing document for listing applications (GL6-09A) (Updated in January 2014, May 2014 and February 2017)Guidance LetterNew Applicants

  

Revised Guidance Letters 

Date(dd/mm/yyyy)

Particulars

Document Type

Content Category

23/04/2013Guidance 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 LetterNew Applicants
26/03/2013Disclosure 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 LetterNew Applicants
31/01/2013Simplification Series - Disclosure in listing documents for IPO cases – the “Business” section (GL50-13) (Withdrawal in May 2016, superseded by GL86-16)Guidance LetterNew Applicants
31/01/2013Simplification Series - Disclosure in listing documents for IPO cases – the “History and Development” section (GL49-13) (Withdrawal in May 2016, superseded by GL86-16)Guidance LetterNew Applicants
31/01/2013Simplification Series - Disclosure in listing documents for IPO cases – the “Industry Overview” section  (GL48-13) (Withdrawal in May 2016, superseded by GL86-16)Guidance LetterNew Applicants
15/06/2012Guidance 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 LetterNew Applicants
15/06/2012Guidance 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 and January 2014)Guidance LetterNew Applicants
08/05/2012Guidance 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 LetterNew Applicants
17/04/2012Disclosure in listing documents for IPO cases – Use of Proceeds (GL33-12) (Withdrawal in May 2016, superseded by GL86-16)Guidance LetterNew Applicants
12/01/2012Simplification Series - Disclosure in listing documents for IPO cases – the "Summary and Highlights" section (GL27-12) (Withdrawal in May 2016, superseded by GL86-16) Guidance LetterNew Applicants
24/12/2010Documentation requirements for IPO cases - facilitative procedures (GL23-10) (Updated in July 2013) Guidance LetterNew Applicants
22/10/2010Sponsor's due diligence on non-disclosure of confidential information in the listing document (GL21-10) (Updated in July 2013 and March 2017) Guidance LetterNew Applicants
30/06/2010Guidance on publicity materials and e-IPO advertisements (GL18-10) (Updated in July 2013 and March 2014) Guidance LetterNew Applicants
10/2009Listing Document Covers (GL13-09) (Updated in July 2013 and March 2014) Guidance LetterNew Applicants
07/2009Statistics and data quoted in prospectuses (GL8-09) (Updated in July 2013) Guidance LetterNew Applicants
07/2009Documentary 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 in September 2010 and July 2013) Guidance LetterNew Applicants
04/2006Guidance on assessment of a sponsor's independence (GL4-06) (Updated in July 2013) Guidance LetterNew Applicants

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