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Archive - Frequently Asked Questions

Consolidated Version of Withdrawn Frequently Asked Questions

Frequently Asked Questions marked up against the last published versions (from January 2014 onwards)

With effect from 2014, we will publish a marked-up version of the Frequently Asked Questions in the Archive to enable readers to note the changes made to the last version.

FAQ Number/ Series Number First Release Date (Last Update Date)(dd/mm/yyyy) Particulars
Series 7 28/11/2008 (28/09/2018) Rule Requirements relating to Notifiable Transactions, Connected Transactions and Issues of Securities by Listed Issuers (marked-up version issued in September 2018)
Series 24 26/07/2013 (13/07/2018) Listing Rule changes to complement the Securities and Future Commission's New Sponsor Regulation effective on 1 October 2013 (marked-up version issued in July 2018)
Series 13 26/11/2010 (13/07/2018) Rules amendments relating to Mixed Media Offer (effective 1 February 2011) (Withdrawn in July 2018)
Series 23 21/06/2013 (13/07/2018) Disclosure of a new applicant’s unaudited net profits/ losses after its track record period in a listing document (Withdrawn in July 2018)
028-2018 04/05/2018 (13/07/2018) Questions relating to the Review of The Growth Enterprise Market (GEM) and changes to the GEM and Main Board Listing Rules (FAQ No. 028-2018) (Withdrawn in July 2018)
Series 29 17/11/2014 (13/07/2018) Shanghai and Shenzhen Connect (marked-up version issued in July 2018)
024-2018 to 027-2018 04/05/2018 (29/06/2018)
Questions on calculation of value dilution (marked-up version issued in July 2018)
Series 28 21/03/2014 (29/06/2018)
Rule Requirements Relating to Connected Transactions (effective 1 July 2014) (marked-up version issued in July 2018)
Series 20 28/02/2013 (29/06/2018)
Rule Requirements relating to Notifiable Transactions, Connected Transactions, Mineral Companies, Issues of Securities and Corporate Governance Code (marked-up version issued in July 2018)
Series 8 28/11/2008 (29/06/2018)
Rule Amendments relating to the 2008 Combined Consultation (marked-up version issued in July 2018)
Series 1 31/03/2004 (11/05/2018) Rule Amendments relating to Corporate Governance and Listing Criteria Issues (marked-up version issued in May 2018)
Series 5 02/05/2008 (15/02/2018) Rule Amendments relating to GEM Review (marked-up version issued in February 2018)
Series 6 09/05/2008 (15/02/2018) HKEX’s Framework for Depositary Receipts (HDRs) (marked-up version issued in February 2018)
001-2016 02/02/2012 (13/05/2016) Questions relating to Guidance Letter HKEX-86-16 "Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications" (marked-up version issued in May 2016)
003-2016 02/02/2012 (13/05/2016) Questions relating to Guidance Letter HKEX-86-16 "Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications" (marked-up version issued in May 2016)
002-2016 02/02/2012 (26/02/2016) Questions relating to Guidance Letter HKEX-86-16 "Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications" (marked-up version issued in February 2016)
Series 18 31/08/2012 (21/12/2015) Questions relating to Environmental, Social and Governance Reporting (marked-up version issued in December 2015)
Series 31 06/02/2015
(21/12/2015)
Questions relating to the 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 (marked-up version issued in December 2015)
Series 30 19/12/2014 (14/07/2015) Questions relating to the Risk Management and Internal Control section of the Corporate Governance Code (Effective for accounting periods beginning on or after 1 January 2016) (marked-up version issued in July 2015)
Series 26 21/02/2014 (01/04/2015) Questions relating to the New Companies Ordinance and its impact on issuers (Effective from 3 March 2014) (marked-up version issued in April 2015)
Series 19 13/12/2012
(01/04/2015)
Amendments to the Corporate Governance Code and Corporate Governance Report relating to Board Diversity (effective 1 September 2013) (marked-up version issued in April 2015)
Series 17 19/12/2011 (01/04/2015) Review of the Corporate Governance Code and Associated Listing Rules (marked-up version issued in April 2015)
Series 15 20/10/2011
(01/04/2015)
Rule amendments relating to property valuation requirements (effective 1 January 2012) (marked-up version issued in April 2015)
Series 12 26/05/2010 (01/07/2014) Amendments relating to New Listing Rules for Mineral Companies (effective 3 June 2010) (marked-up version in July 2014)
Series 11 20/05/2010 (01/07/2014) Rule Amendments relating to Circulars and Listing Documents of Listed Issuers (effective 3 June 2010) (marked-up version in July 2014)
Series 10 20/05/2010 (01/07/2014) Amendments to Connected Transaction Rules (effective 3 June 2010) (marked-up version issued in July 2014)
Series 9 14/12/2009 (01/07/2014) Rule Requirements relating to Notifiable Transactions, Connected Transactions, Amendments to Articles of Association and Notices of Meeting (marked-up version issued in July 2014)
Series 4 05/11/2007 (17/04/2014) Web Proof Information Pack (WPIP) (marked-up version issued in April 2014) (Withdrawn in July  2014)

 


Updated 28 Sep 2018

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