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Rules and Guidance

In addition to the Listing Rules, this section includes reference materials on: (i) Interpretation and Guidance; (ii) Forms; (iii) Other Resources; (iv) Disciplinary & Enforcement; and (v) e-Submission System.  These materials do not form part of the Rules, nor do they amend or vary any Rule requirements, or absolve issuers and/or their directors of any obligations to make their own judgment.  They speak as of their dates of issue; some information may have been superseded.  Contact the Listing Division with any queries.  The Division can be consulted on a confidential basis.

What's New

This section contains hyperlinks to materials published under “Listing - Rules and Guidance” in the last 6 months. 

Release Date (dd/mm/yyyy)

Particulars

Section
22/03/2019

Publication of new and revised FAQ Series and Guidance Letters as a result of Streamlining Guidance Materials Relating to Listing Matters

• FAQ Series 24
• GL57-13/ GL63-13/ GL68-13/ GL71-14/ GL96-18/ GL97-18/ GL100-19

Interpretation and Guidance
22/03/2019  To provide guidance on why the Exchange rejected certain listing applications (LD121-2019) Interpretation and Guidance > Listing Decisions
22/03/2019 Guidance on Sanctions Risks (GL101-19) Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
28/02/2019 Questions on audit terminology used in the Rules with reference to the HKICPA’s revised Auditor Reporting Standards effective on 15 December 2016 – Added FAQ No.053-2019, withdrawn No.001-2017 and updated No.002-2017 to 004-2017 Interpretation and Guidance > Frequently Asked Questions
28/02/2019  Questions on the submission of contact information of directors/supervisors and the disclosure of their former names and aliases Interpretation and Guidance > Frequently Asked Questions
28/02/2019 Updates and withdrawals of FAQs, Guidance Letters, and Listing Decisions as a result of the Rule changes on Proposed Changes to Documentary Requirements relating to Listed Issuers and Other Minor Rule Amendments

•   FAQ Series 8
•   GL58-13/ GL66-13/ GL95-18
•   LD74-1/ LD112-1/ LD6-2011/ LD114-2017
Interpretation and Guidance
28/02/2019 Revised Checklists and Forms as a result of the Rule changes on Proposed Changes to Documentary Requirements relating to Listed Issuers and Other Minor Rule Amendments Forms > New Applicants
28/02/2019 Revised Checklists and Forms as a result of the Rule changes on Proposed Changes to Documentary Requirements relating to Listed Issuers and Other Minor Rule Amendments Forms > Main Board Issuers
28/02/2019 Revised Checklists and Forms as a result of the Rule changes on Proposed Changes to Documentary Requirements relating to Listed Issuers and Other Minor Rule Amendments Forms > GEM Issuers
01/02/2019 Publication of Consultation Conclusions on Proposed Changes to Documentary Requirements relating to Listed Issuers and Other Minor Rule Amendments Other Resources > Letters to Issuers
31/01/2019 Review of Issuers’ Annual Report Disclosure – Report 2018 Other Resources > Listed Issuers > Exchange’s Review of Issuer’s Annual Disclosure > Review of Issuers’ Annual Report Disclosure
31/01/2019 Publication of Review of Issuers’ Annual Report Disclosure – Report 2018 Other Resources > Letters to Issuers
18/01/2019 Publication of Consultation Conclusions on Review Structure in relation to Listing Committee Decisions Other Resources > Letters to Issuers
28/12/2018 Revised Frequently Asked Questions Series 17 Interpretation and Guidance > Frequently Asked Questions
21/12/2018 Updated Guide on General Meetings Other Resources > Listed Issuers > Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters
20/12/2018 Revised Checklists and Forms
•  CF011M
•  CF091		 Forms > Main Board Issuers
20/12/2018 Revised Checklists and Forms
•  CF011G
•  CF091		 Forms > GEM Issuers
18/12/2018 Directors E-Trainings - INEDs’ Role in Corporate Governance Other Resources > Letters to Issuers
17/12/2018 Updated Circular to Management Companies of SFC-authorised Exchange Traded Funds - List of Potential Events Triggering Ongoing Disclosure Other Resources > Letters to Issuers
07/12/2018 Updates of Frequently Asked Questions
•  FAQ Series 27 (Added No.8)
•  FAQ No.045-2018 to 052-2018 (Added No.046A-2018 and updated No. 047-2018)
Interpretation and Guidance > Frequently Asked Questions
07/12/2018  Revised Frequently Asked Questions Series 24 Interpretation and Guidance > Frequently Asked Questions
16/11/2018 Analysis of Corporate Governance Practice Disclosure in June and December Year-End 2017 and March Year-End 2018 Annual Reports Other Resources > Listed Issuers > Exchange’s Review of Issuer’s Annual Disclosure > Review of Implementation of Corporate Governance Code
16/11/2018 Revised Frequently Asked Questions Series 18 Interpretation and Guidance > Frequently Asked Questions
16/11/2018 Publication of Latest Review of Listed Issuers’ Corporate Governance Practices and Updated Guidance Material on ESG Reporting Other Resources > Letters to Issuers
28/09/2018 Consultation Paper on Proposal relating to Listed Issuers with Disclaimer or Adverse Audit Opinion on Financial Statements Other Resources > Letters to Issuers
28/09/2018 Questions on Notifiable and Connected Transaction Rules relating to Lease Transactions of Listed Issuers adopting HKFRS/IFRS 16 “Leases” (or similar accounting standards in other jurisdictions) Interpretation and Guidance > Frequently Asked Questions
28/09/2018 Revised Frequently Asked Question Series 7 Interpretation and Guidance > Frequently Asked Questions
24/08/2018 Questions on listing of companies from emerging and innovative sectors – Added FAQ No. 030-2018 to 044-2018 Interpretation and Guidance > Frequently Asked Questions
17/08/2018 Consultation Conclusions on Proposed Exemption for Aircraft Leasing Activities Other Resources > Letters to Issuers
10/08/2018 Publication of Consultation Paper on Review Structure in relation to Listing Committee Decisions Other Resources > Letters to Issuers


Updated 22 Mar 2019

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