23/07/2013
(24/02/2023)
|
Guidance on Documentary Requirements and Administrative Matters for New Listing Application (Equity) (GL55-13) (marked-up version issued in February 2023)
|
Guidance Letter
|
New Applicants
|
06/07/2018
(01/01/2023)
|
Guidance for applicants in the internet technology sector or that have internet-based business models (collectively, Relevant Sectors) (GL97-18) (marked-up version issued in January 2023)
|
Guidance Letter
|
New Applicants
|
07/2009
(01/01/2023)
|
Conditions for a waiver from strict compliance with Main Board Rule 17.02(1)(b) and paragraph 27 of Appendix 1A regarding disclosure of pre-IPO share option schemes (GL11-09) (marked-up version issued in January 2023)
|
Guidance Letter
|
New Applicants
|
01/01/2022
(09/12/2022)
|
Guidance Letter on Special Purpose Acquisition Companies (marked-up version issued in December 2022)
|
Guidance Letter
|
New Applicants/ Listed Issuers
|
01/01/2022
(04/08/2022) |
Guidance for Overseas Issuers (GL111-22) (marked-up version issued in August 2022) |
Guidance Letter
|
New Applicants/ Listed Issuers |
05/03/2021
(04/08/2022) |
Pre-vetting for placing to connected clients in an initial public offering (GL110-21) (marked-up version issued in August 2022) |
Guidance Letter |
New Applicants |
13/07/2018
(04/08/2022) |
Guidance on disclosure in listing documents — listing applicants' names; statistics and data quoted; listing document covers; non-disclosure of confidential information; and material changes after trading record period (GL98-18) (marked-up version issued in August 2022) |
Guidance Letter |
New Applicants |
02/02/2018
(04/08/2022) |
Reallocation of shares from placing tranche to the public subscription tranche in an initial public offer (GL91-18) (marked-up version issued in August 2022) |
Guidance Letter |
New Applicants |
22/01/2016
(04/08/2022) |
Placing to connected clients, and existing shareholders or their close associates, under the Rules (GL85-16) (marked-up version issued in August 2022) |
Guidance Letter |
New Applicants |
07/11/2014
(04/08/2022) |
Guidance on Documentary Requirements and Administrative Matters for Collective Investment Schemes ("CIS") Applications (GL79-14) (marked-up version issued in August 2022) |
Guidance Letter |
New Applicants |
01/10/2013
(04/08/2022) |
Guidance on the logistical arrangements for the submission and publication of Application Proofs, OC Announcements, Post Hearing Information Packs ("PHIP") and related materials on the Exchange's Website (GL57-13) (marked-up version issued in August 2022) |
Guidance Letter |
New Applicants |
23/07/2013
(04/08/2022) |
Guidance 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) (marked-up version issued in August 2022) |
Guidance Letter |
New Applicants |
23/04/2013
(04/08/2022) |
Guidance 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) (marked-up version issued in August 2022) |
Guidance Letter |
New Applicants |
30/06/2010
(04/08/2022) |
Guidance on publicity materials, e-IPO advertisements and Mixed Media Offer (MMO) (GL18-10) (marked-up version issued in August 2022) |
Guidance Letter |
New Applicants |
25/05/2018
(24/06/2022) |
Guidance on long suspension and delisting (GL95-18) (marked-up version issued June 2022) |
Guidance Letter |
Listed Issuers |
12/10/2011
(20/05/2022)
|
Conditions for waivers from strict compliance with Main Board Rule 4.04(1) and GEM Rules 7.03(1) and 11.10 (GL25-11) (marked-up version issued May 2022) |
Guidance Letter |
New Applicants |
26/04/2019
(01/01/2022)
|
Guidance on accounting policies and stock-taking procedures performed by the reporting accountants (GL102-19)
(marked-up version issued January 2022)
|
Guidance Letter |
New Applicants |
30/04/2018
(01/01/2022)
|
(A) Suitability for Grandfathered Greater China Issuers and Non-Greater China Issuers that meet the conditions set out in Rule 8A.46 to list with weighted voting rights (“WVR”) structure and (B) the Contractual Arrangements of Grandfathered Greater China Issuers and Non-Greater China Issuers (GL94-18)
(marked-up version issued January 2022)
|
Guidance Letter |
New Applicants |
30/04/2018
(01/01/2022)
|
Suitability for an applicant (other than Grandfathered Greater China Issuers or Non-Greater China Issuers with a weighted voting rights (“WVR”) structure applying for (i) a dual primary listing under Chapter 19 that meet the conditions set out in Rule 8A.46; or (ii) a secondary listing under Chapter 19C) to list with a WVR structure in compliance with Chapter 8A (GL93-18) (marked-up version issued January 2022)
|
Guidance Letter |
New Applicants |
02/02/2016
(01/01/2022)
|
Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications (GL86-16)(marked-up version issued in January 2022)
|
Guidance Letter |
New Applicants |
| 07/12/2012 (01/01/2022) |
Guidance on unrealised fair value gains on valuation of biological assets for the purpose of trading record and profit requirements under Rule 8.05(1)(a); disclosure requirements for applicants with biological assets and due diligence work expected to be performed by sponsor and other professional advisers on biological assets (GL46-12) (marked-up version issued in January 2022) |
Guidance Letter |
New Applicants |
| 03/01/2012 (01/01/2022) |
Guidance on business models with significant forfeited income from prepayments (GL26-12) (marked-up version issued in January 2022) |
Guidance Letter |
New Applicants |
| 01/10/2019 (11/06/2021) |
Guidance on sufficiency of operations (GL106-19) (marked-up version issued in June 2021) |
Guidance Letter |
Listed Issuers |
| 29/04/2020 (10/02/2021) |
Disclosure in listing documents for Biotech Companies (marked-up version issued in February 2021) |
Guidance Letter |
New Applicants |
| 01/10/2013 (18/09/2020) |
Guidance on accelerated procedures for reviewing a Listing Division's and/or Listing Committee’s decision to return a listing application (GL61-13) (marked-up version issued in September 2020) |
Guidance Letter |
New Applicants |
| 22/02/2013 (24/06/2020) |
Guidance on Cornerstone Investment — No Direct or Indirect Benefits to Cornerstone Investors other than Guaranteed Allocation at IPO price (GL51-13) (marked-up version issued in June 2020) |
Guidance Letter |
New Applicants |
| 30/04/2018 (29/04/2020) |
Suitability for Listing of Biotech Companies (GL92-18) (marked-up version issued in April 2020) |
Guidance Letter |
New Applicants |
| 26/03/2013 (28/02/2020) |
Disclosure in listing documents for new 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) (mark-up version issued in February 2020) |
Guidance Letter |
New Applicants |
| 17/05/2012 (28/02/2020) |
Guidance on distributorship business model -risks and disclosure in listing documents (GL36-12) (mark-up version issued in February 2020) |
Guidance Letter |
New Applicants |
| 29/06/2018 (01/10/2019) |
Guidance on listed issuer's suitability for continued listing (GL96-18) (marked-up version issued in October 2019) |
Guidance Letter |
Listed Issuers |
| 03/06/2016 (01/10/2019) |
Guidance on IPO vetting and suitability for listing (GL68-13A) (marked-up version issued in October 2019) |
Guidance Letter |
New Applicants |
13/12/2013
(01/10/2019)
|
Guidance to issuers contemplating (i) a spin-off and separate listing of businesses or assets on the Exchange; or (ii) a reverse takeover where the issuer is deemed a new listing applicant (GL69-13) (marked-up version issued in October 2019) |
Guidance Letter |
Listed Issuers |
| 06/09/2013 (01/10/2019) |
Guidance for long suspended companies (GL66-13) (marked-up version issued in October 2019) |
Guidance Letter |
Listed Issuers |
| 26/11/2012 (26/04/2019) |
Guidance on trading record and financial eligibility requirements and disclosure of certain financial information (GL45-12) (marked-up version issued in April 2019) |
Guidance Letter |
New Applicants |
| 15/06/2012 (26/04/2019) |
Guidance on disclosure on financial information and prospects of new applicants(GL37-12) (marked-up version issued in April 2019) |
Guidance Letter |
New Applicants |
| 08/05/2012 (26/04/2019) |
Guidance on profit forecast and special dividend (GL35-12) (marked-up version issued in April 2019) |
Guidance Letter |
New Applicants |
| 23/07/2013 (22/03/2019) |
Guidance on disclosure of material non-compliance incidents in listing documents (GL63-13) (marked-up version issued in March 2019) |
Guidance Letter |
New Applicants |
| 06/12/2013 (22/03/2019) |
Guidance on suitability for listing (GL68-13) (marked-up version issued in March 2019) |
Guidance Letter |
New Applicants |
| 24/01/2014 (22/03/2019) |
Gambling Activities Undertaken by Listing Applicants and/or Listed Issuers (GL71-14) (marked-up version issued in March 2019) |
Guidance Letter |
New Applicants |
| 03/06/2015 (13/07/2018) |
Guidance on Mixed Media Offer (GL81-15) (marked-up version issued in July 2018) |
Guidance Letter |
New Applicants |
| 29/04/2016 (29/06/2018) |
Guidance on bonus issues of shares (GL88-16) (marked-up version issued in July 2018) |
Guidance Letter |
Listed Issuers |
| 29/05/2015 (29/06/2018) |
Guidance on the issue of convertible securities by listed issuers (GL80-15) (marked-up version issued in July 2018) |
Guidance Letter |
Listed Issuers |
| 23/05/2014 (27/04/2018) |
Guidance on listed issuers using contractual arrangements for their businesses (GL77-14) (marked-up version issued in April 2018) |
Guidance Letter |
Listed Issuers |
| 11/11/2016 (15/02/2018) |
Guidance on issues related to “controlling shareholder” and related Listing Rules implications (GL89-16) (marked-up version issued in February 2018)
|
Guidance Letter |
New Applicants |
| 25/10/2012 (10/03/2017) |
Guidance on Pre-IPO investments in convertible instruments (GL44-12) (marked-up version issued in March 2017) |
Guidance Letter |
New Applicants |
25/10/2012
(10/03/2017) |
Guidance on Pre-IPO investments (GL43-12) (marked-up version issued in March 2017) |
Guidance Letter |
New Applicants |
16/01/2012
(10/03/2017) |
Interim Guidance on Pre-IPO Investments (reproduction of HKEX News Release dated 13 October 2010) (GL29-12) (marked-up version issued in March 2017) |
Guidance Letter |
New Applicants |
28/05/2010
(13/08/2015) |
Guidance for Chapter 21 companies (GL17-10) (marked-up version issued in August 2015)
|
Guidance Letter
|
New Applicants
|
| 02/05/2014 (01/07/2014) |
Guidance on opinion letters prepared by independent financial advisers under the Listing Rules (GL76-14) (marked-up version issued in July 2014) |
Guidance Letter |
Listed Issuers |
| 21/03/2014 (01/07/2014) |
Guidance on pricing policies for continuing connected transactions and their disclosure (GL73-14) (marked-up version issued in July 2014) |
Guidance Letter |
New Applicants/ Listed Issuers |
| 17/08/2012 (20/03/2014) |
The Exchange’s approach to listing of:
• Business trusts
• Stapled securities
(GL40-12) (marked-up version issued in March 2014) |
Guidance Letter |
New Applicants |
| 10/2009 (20/03/2014) |
Application for exemptions from the Companies Ordinance (GL14-09) (marked-up version issued in March 2014) |
Guidance Letter |
New Applicants |
