Regulatory Framework and Rules
Rules and Guidelines
Staff Interpretive Letters

Guidance Letters

Date of Website Publication Date of Original Letters Reference Number Particulars Listing Rules
July 2008 May 2008 GL5-08 Guidance on the interpretation of the experience requirement of the directors and management of the issuer under Main Board Listing Rule 18.03 and the current standing of Listing Decision HKEx-LD9-3 Main Board Rules 8.05 and 18.03
April 2006 May 2005 GL4-06 Guidance on assessment of a sponsor's independence Main Board Rule 3A.07(9)(c)  
April 2006 April 2005 GL3-06 Application of an exchange participant to the Exchange for approval of publication of a summary form of IPO prospectus and other publicity materials for promoting the sale of IPO shares Main Board Rules 9.08 and 11A.07
April 2006 March 2005 GL2-06 Procedures for assessing a sponsor's independence when a partnership is the controlling shareholder of the sponsor Main Board Rule 3A.08
April 2006 September 2004 GL1-06 Disclosure of financial information in IPO prospectuses where the new listing applicants are also listed on an overseas exchange and the applicable rules regulations of such foreign exchange require the applicants to publish such financial information Main Board Rule 8.06