01/10/2013 (01/10/2020) |
Guidance 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) |
Guidance Letter |
New Applicants |
17/10/2014 (01/10/2020) |
Guidance on confirmations required on the accountants' report, pro forma financial information and profit forecast in Application Proofs and subsequent draft listing documents (GL58-13) |
Guidance Letter |
New Applicants |
28/03/2012 (01/10/2020) |
Guidance on the accounting and disclosure requirements for acquisitions of subsidiaries and businesses conducted during or after the trading record period (GL32-12) |
Guidance Letter |
New Applicants |
05/03/2012 (01/10/2020) |
Typhoon and rainstorm warning arrangements (GL31-12) |
Guidance Letter |
New Applicants |
22/10/2009 (01/10/2020) |
Pre-vetting of documents and announcements in IPO cases and post-vetting announcements relating to price stabilization actions (GL16-09)
|
Guidance Letter |
New Applicants |
07/2009 (01/10/2020) |
Conditions for a waiver from strict compliance with Main Board Rules 13.46 and/or 13.49(1) regarding the publication of first annual report and first annual result respectively (GL10-09) |
Guidance Letter |
New Applicants |
07/2009 (01/10/2020) |
Documentary 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) |
Guidance Letter |
New Applicants |
22/10/2010 (28/02/2020) |
Pre-conditions for a waiver from the financial standards requirements for new applicant Mineral Companies under Main Board Rule 18.04 (GL22-10) |
Guidance Letter |
New Applicants |
21/12/2015
(01/10/2019)
|
Guidance on Cash Company Rules (GL84-15) (Withdrawn; superseded by HKEX-GL105-19 issued in October 2019) |
Guidance Letter |
Listed Issuers |
30/05/2014
(01/10/2019)
|
Guidance on application of reverse takeovers requirements under Rule 14.06(6) (GEM Rule 19.06(6)) (GL78-14) (Withdrawn; superseded by HKEX-GL104-19 issued in October 2019) |
Guidance Letter |
Listed Issuers |
13/08/2015 (26/04/2019) |
Disclosure of unaudited quarterly/interim financial information in the listing document where the new listing applicant or any of its subsidiaries is listed on another exchange (GL82-15) (Withdrawn; superseded by HKEX-GL45-12 issued in April 2019) |
Guidance Letter |
New Applicants |
15/06/2012 (26/04/2019) |
Guidance on the Latest Practicable Date and the Latest Date for Liquidity Disclosure in Listing Documents (GL38-12) (Withdrawn; superseded by HKEX-GL37-12 issued in April 2019) |
Guidance Letter |
New Applicants |
22/10/2009 (26/04/2019) |
Payment of special dividend based on a new applicant's estimated distributable profits for a period up to the day immediately before listing (GL15-09) (Withdrawn; superseded by HKEX-GL35-12 issued in April 2019) |
Guidance Letter |
New Applicants |
06/09/2013 (13/07/2018) |
Disclosure in listing documents for IPO cases — information in property valuation report and market report (GL65-13) (Withdrawn; superseded by GL56-13 issued in July 2018) |
Guidance Letter |
New Applicants |
01/10/2013 (13/07/2018) |
Guidance on the financial information for the trading record period expected in the first draft listing document for listing applications (GL6-09A) (Withdrawn; superseded by GL56-13 issued in July 2018) |
Guidance Letter |
New Applicants |
22/08/2012 (13/07/2018) |
Disclosure requirements for IPO cases — Disclosure of material changes in financial, operational and/ or trading position after trading record period (GL41-12) (Withdrawn; superseded by GL98-18 issued in July 2018) |
Guidance Letter |
New Applicants |
09/02/2012 (13/07/2018) |
Guidance on disclosure of Intellectual Property Rights in Listing Documents under Main Board Rule Appendix 1 and GEM Rule Appendix 1 (GL30-12) (Withdrawn; superseded by GL56-13 issued in July 2018) |
Guidance Letter |
New Applicants |
30/03/2011 (13/07/2018) |
Simplification Series — Disclosure requirements for IPO cases — Formal Notice (GL24-11) |
Guidance Letter |
New Applicants |
24/12/2010 (13/07/2018) |
Documentation requirements for IPO cases — facilitative procedures (GL23-10) (Withdrawn; superseded by GL55-13 issued in July 2018) |
Guidance Letter |
New Applicants |
22/10/2013 (13/07/2018) |
Sponsor's due diligence on nondisclosure of confidential information in the listing document (GL21-10) (Withdrawn; superseded by GL98-18 issued in July 2018) |
Guidance Letter |
New Applicants |
10/2009 (13/07/2018) |
Listing Document Covers (GL13-09) (Withdrawn; superseded by GL98-18 issued in July 2018) |
Guidance Letter |
New Applicants |
7/2009 (13/07/2018) |
Statistics and data quoted in prospectuses (GL8-09) (Withdrawn; superseded by GL98-18 issued in July 2018) |
Guidance Letter |
New Applicants |
4/2006 (13/07/2018) |
Guidance on assessment of a sponsor's independence (GL4-06) (Withdrawn; superseded by GL99-18 issued in July 2018) |
Guidance Letter |
New Applicants |
4/2006 (13/07/2018) |
Application of an exchange participant 8 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 (GL3-06) |
Guidance Letter |
New Applicants |
4/2006 (13/07/2018) |
Procedures for assessing a sponsor's independence when a partnership is the controlling shareholder of the sponsor (GL2-06) (Withdrawn; superseded by GL99-18 issued in July 2018) |
Guidance Letter |
New Applicants |
12/01/2012 (13/05/2016) |
Simplification Series — Guidance on disclosure in listing documents for IPO cases — the "Summary and Highlights" section (GL27-12) |
Guidance Letter |
New Applicants |
17/04/2012 (13/05/2016) |
Disclosure in listing documents for IPO cases — Use of Proceeds (GL33-12) |
Guidance Letter |
New Applicants |
31/01/2013 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "Industry Overview" section (GL48-13) |
Guidance Letter |
New Applicants |
31/01/2013 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "History and Development" section (GL49-13) |
Guidance Letter |
New Applicants |
31/01/2013 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "Business" section (GL50-13) |
Guidance Letter |
New Applicants |
03/05/2013 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "Risk Factors" section (GL54-13) |
Guidance Letter |
New Applicants |
23/07/2013 (13/05/2016) |
Guidance on management discussion and analysis on the historical financial information ("MD&A") in listing documents (GL59-13) |
Guidance Letter |
New Applicants |
23/07/2013 (13/05/2016) |
Disclosure of Directors, Supervisors and Senior Management section in listing documents (GL62-13) |
Guidance Letter |
New Applicants |
23/07/2013 (13/05/2016) |
Simplification Series — Disclosure requirements for IPO cases — White and Yellow Application Forms and other application forms for designated subscribers and "How to Apply for Hong Kong Offer Shares" section in a prospectus (GL64-13) |
Guidance Letter |
New Applicants |
29/01/2014 (13/05/2016) |
Simplification Series — Disclosure in listing documents for IPO cases — the "Applicable Laws and Regulations" section (GL72-14) |
Guidance Letter |
New Applicants |
17/10/2014 (01/2016) |
Consents for placing of shares to connected clients who will hold the shares on behalf of independent third parties (GL75-14) |
Guidance Letter |
New Applicants |
04/2006 (08/2015) |
Disclosure of financial information in IPO prospectuses where the new listing applicants are also listed on an overseas exchange and the applicable rules and regulations of such foreign exchange require the applicants to publish such financial information (GL1-06) |
Guidance Letter |
New Applicants |
09/2009 (11/2014) |
Streamlined procedures for listing overseas companies (GL12-09) |
Guidance Letter |
New Applicants |
24/03/2014 (30/09/2014) |
Guidance on what constitutes a failure of the Initial 3-day Check (GL74-14) |
Guidance Letter |
New Applicants |
24/01/2014 (01/07/2014) |
Guide on Connected Transaction Rules (GL70-14) |
Guidance Letter |
New Applicants/ Listed Issuers |
07/2009 (06/02/2014) |
IPO-filing administrative practices for Main Board and GEM Applicants -Information in the first draft listing document – Acceptance for vetting (GL6-09)
(Withdrawn in February 2014; Superseded by GL6-09A issued in July 2013 and became effective on 1 October 2013) |
Guidance Letter |
New Applicants |
11/03/2003 (24/01/2014) |
Gambling Activities Undertaken by Listing Applicants and/or Listed Issuers
(Withdrawn on 24/01/2014; superseded by GL71-14 issued in January 2014) |
News Release |
New Applicants / Listed Issuers |
20/04/2012 (24/01/2014) |
Guide on Connected Transaction Rules
(Withdrawn on 24/01/2014; superseded by GL70-14 issued in January 2014) |
Guidelines |
New Applicants / Listed Issuers |
24/07/2009 (24/01/2014) |
Stock Exchange Publishes Guidance on its IPO Process |
Letter to Issuers |
New Applicants |
05/06/2009 (24/01/2014) |
Possible Waiver for Profit Test Requirement for Initial Listing Applicants on the Main Board |
News Release |
New Applicants |
01/2008 (24/01/2014) |
Pilot Pre-IPO Information Scheme Supports Hong Kong's Position as an International Financial Centre |
Exchange Newsletter |
New Applicants |
27/12/2007 (24/01/2014) |
Web Proof Information Packs Available Online in January |
News Release |
New Applicants |
05/11/2007 (24/01/2014) |
Earlier Disclosure of Information by IPO Applicants |
News Release |
New Applicants |
04/2007 (24/01/2014) |
Overview of Policy Statement on Issuers from Overseas Jurisdictions |
Exchange Newsletter |
New Applicants |
07/03/2007 (24/01/2014) |
SFC/HKEx Joint Policy Statement Regarding the Listing of Overseas Companies |
News Release |
New Applicants |
02/04/2003 (24/01/2014) |
Response to CSRC Abolishing the Requirement to review PRC Legal Opinions in respect of Overseas Incorporated Companies with Mainland Interests Seeking a Listing outside the Mainland |
News Release |
New Applicants |
13/10/1999 (24/01/2014) |
The period covered by the accountants reports in the listing documents for companies applying for listing on GEM |
News Release |
New Applicants |
27/07/2010 (20/12/2013) |
Matters to be considered by Germany incorporated listing applicants (GL20-10) (Withdrawn, superseded by Germany Country Guide) |
Guidance Letter |
New Applicants |
07/03/2007 (27/09/2013) |
Joint Policy Statement (Withdrawn in September 2013; Superseded by Joint Policy Statement Regarding the Listing of Overseas Companies (27 September 2013)) |
Guidelines |
New Applicants |
05/10/2009 (15/06/2012) |
Review of the liquidity disclosure in listing documents published after the issuance of "Guidance Regarding Indebtedness, Liquidity, Financial Resources and Capital Structure Disclosure in Listing Documents issued by New Applicants" (Withdrawn on 15 June 2012; Superseded by GL37-12) |
Letter to Issuers |
New Applicants |
21/07/2008 (15/06/2012) |
Guidance regarding indebtedness, liquidity, financial resources and capital structure disclosure in listing documents issued by new applicants (Withdrawn on 15 June 2012; Superseded by GL37-12) |
Letter to Issuers |
New Applicants |
07/2008 (10/2010) |
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 (GL5-08)
(Withdrawn in October 2010; Superseded by GL22-10) |
Guidance Letter |
New Applicants |
05/1997 (06/2010) |
Publication materials under Rule 9.08 (Withdrawn; Superseded by GL18-10) |
Letter to Issuers |
New Applicants |
07/2003 (11/2009) |
Guideline Highlights New Listing Application Vetting Initiatives |
Exchange Newsletter |
New Applicants |