What's New

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 They speak as of their dates of issue; some information may have been superseded.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.

Rule Books

main board online rulebook	gem online rulebook
Main Board Listing Rules	GEM Listing Rules

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
24/06/2022	Publication of Listing Decisions • LD136-2022 • LD137-2022	Interpretation and Guidance > Listing Decisions
24/06/2022	Publication of revised Guidance Letter • GL95-18	Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
22/06/2022	Publication of Private Reprimands	Disciplinary & Enforcement > Disciplinary Sanctions
17/06/2022	Publication of Frequently Asked Questions • FAQ No. 078-2022 • FAQ No. 079-2022 • FAQ No. 080-2022 • FAQ No. 081-2022 • FAQ No. 082-2022	Interpretation and Guidance > Frequently Asked Questions
10/06/2022	Publication of the Exchange’s Listing Newsletter	How We Regulate > Listing Newsletter
28/05/2022	Publication of revised e-Form • FF005	Checklists and Forms > Main Board Issuers and Checklists and Forms > GEM Issuers
28/05/2022	Publication of revised e-Forms for New Applicants • G103/M112/G112/M119/G118	Checklists and Forms > New Applicants and Listing e-Forms
27/05/2022	Updates of Frequently Asked Question • FAQ No. 077-2022	Interpretation and Guidance > Frequently Asked Questions
20/05/2022	Publication of new Listing Decisions • LD132-2022 • LD133-2022 • LD134-2022 • LD135-2022 Publication of revised Guidance Letter • GL25-11	Interpretation and Guidance > Listing Decisions and Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
16/05/2022	Publication of the Exchange’s Listed Issuer Regulation Newsletter	Listed Issuers > Current topics > Listed Issuer Regulation Newsletters
29/04/2022	Exchange Launches Board Diversity Repository and Enhances ESG Academy	Sustainability>Board Diversity & Inclusion in Focus Sustainability>ESG Academy>ESG in Practice
22/04/2022	Publication of Information Paper on (i) Rule amendments on bookbuilding and placing activities in equity capital market transactions and sponsor coupling to complement the new provisions of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission; and (ii) housekeeping Rule amendments Publication of Frequently Asked Questions • FAQ No. 077-2022 Updates of Frequently Asked Question • FAQ (Series 2)	News > Regulatory Announcements and Listing Regulations > IPO > Listing Matters regarding Sponsor Regulation and Intermediaries Regulation and Listing Rules > Amendments to Main Board Listing Rules > 2022 and Listing Rules > Amendments to GEM Listing Rules > 2022 and Interpretation and Guidance > Frequently Asked Questions
08/04/2022	Update of Frequently Asked Questions on the Joint Statement in relation to Results Announcement and holding of General Meeting	Listed Issuer > Current topics > COVID-19 Pandemic
14/03/2022	Publication of the Listing Committee Report 2021	How We Regulate > Listing Committee
11/03/2022	Publication of revised Guidance Letters • GL55-13	Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
11/03/2022	Publication of revised Guidance Letters • GL79-14	Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
11/03/2022	Publication of revised e-Form guidelines for New Applicants • CIS002/M501/M112/G112/M119/G118	Checklists and Forms > New Applicants and Listing e-Forms
04/03/2022	Publication of new Guidance Letter • GL114-22	Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants and Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
02/03/2022	Update of Frequently Asked Questions on the Joint Statement in relation to Results Announcement and holding of General Meeting	Listed Issuer > Current topics > COVID-19 Pandemic
21/02/2022	Update of Frequently Asked Questions on the Joint Statement in relation to Results Announcement	Listed Issuer > Current topics > COVID-19 Pandemic
04/02/2022	Publication of the Exchange’s Enforcement Bulletin	Disciplinary & Enforcement > Enforcement Bulletin
28/01/2022	Publication of revised Country Guides • Australia • Austria • Brazil • British Virgin Islands • Canada – Alberta • Canada – British Columbia • Cyprus • England & Wales • France • Germany • Guernsey • India • Ireland • Isle of Man • Israel • Italy • Japan • Jersey • Republic of Korea • Labuan • Luxembourg • Netherlands • Russia • Singapore (the Republic of) • United States of America – State of California • United States of America – State of Delaware • United States of America - State of Nevada Publication of revised Listing Decision • LD27-2012	Listing of Overseas Companies > List of overseas jurisdictions where securities of companies incorporated therein have been accepted for trading on the Exchange and Archive > Archive – Country Guides and Interpretation and Guidance > Listing Decisions and Archive > Archive - Listing Decisions
28/01/2022	Publication of Report of Review of Issuers’ Annual Reports	Listed Issuers > Exchange's Reports > Review of Issuers' Annual Reports
28/01/2022	e-Learning on Trading Arrangements for Corporate Actions	Listed Issuers > e-Learning > Trading Arrangements for Corporate Actions
28/01/2022	Publication of Private Reprimands	Disciplinary & Enforcement > Disciplinary Sanctions
01/01/2022	Publication of revised Listing e-Forms and guidelines for Main Board Issuers • DU003M/ DU004M Publication of revised e-Form guidelines for Main Board Issuers • DU005M	Checklists and Forms > Main Board Issuers and Listing e-Forms
01/01/2022	Publication of revised Listing e-Forms and guidelines for GEM Issuers • DU003G/ DU004G Publication of revised e-Form guidelines for GEM Issuers • DU005G	Checklists and Forms > GEM Issuers and Listing e-Forms
01/01/2022	Publication of revised Listing e-Forms and guidelines for new listing applicants • M402/ G402/ DU003M/ DU003G/ DU004M/ DU004G Publication of revised e-Form guidelines for new listing applicants • DU005M/ DU005G	Listing e-Forms
01/01/2022	Publication of revised Checklists and Forms and guidelines for New Applicants • M402/ G402/ DU003M/ DU003G/ DU004M/ DU004G Publication of revised guidelines on Checklists and Forms for New Applicants • DU005M/ DU005G	Checklists and Forms > New Applicants
31/12/2021	Publication of new Guidance Letters • GL111-22 • GL112-22 • GL113-22 Publication of revised Guidance Letters • GL26-12 • GL46-12 • GL55-13 • GL56-13 • GL57-13 • GL86-16 • GL93-18 • GL94-18 • GL102-19 Publication of revised Listing Decisions • LD28-2012 • LD43-3 • LD57-2013 • LD74-1 • LD93-2016 • LD99-3 • LD114-1 Withdrawal of Listing Decision • LD85-1 Publication of Frequently Asked Questions • FAQ No. 076-2022 Updates of Frequently Asked Questions • FAQ (Series 1) • FAQ (Series 6) • FAQ (Series 9) • FAQ (Series 25) • FAQ (Series 26) • FAQ No. 030-2018 to 044-2018 • FAQ No. 059-2019 to 067-2019 • FAQ No. 075-2021	Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants and Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers and Interpretation and Guidance > Listing Decisions and Archive > Archive - Listing Decisions and Interpretation and Guidance > Frequently Asked Questions
30/12/2021	e-Learning on Continuing Disclosure Obligations and Trading Halt	Listed Issuers > e-Learning > Continuing Disclosure Obligations and Trading Halt
29/12/2021	Updates of Frequently Asked Questions on Corporate Governance Code and Related Listing Rules • FAQ Series 17	Interpretation and Guidance > Frequently Asked Questions
17/12/2021	Publication of Consultation Conclusions Paper on Special Purpose Acquisition Companies	News > Market Consultations
17/12/2021	Publication of new template and revised checklist for New Applicants • M104/ M105/ M106	Checklists and Forms > New Applicants
17/12/2021	Publication of the Exchange’s Listed Issuer Regulation Newsletter	Listed Issuers > Current topics > Listed Issuer Regulation Bulletins
13/12/2021	Publication of Application Form • Scheme for quarantine-free travel to the Mainland (English version only)	Listed Issuer > Current topics > COVID-19 Pandemic
10/12/2021	Publication of Corporate Governance Guide for Boards and Directors	Rules and Guidance > Corporate Governance Practices
10/12/2021	Publication of Consultation Conclusions Paper on Corporate Governance Code & Related Listing Rules, and Housekeeping Rule Amendments	News > Market Consultations
10/12/2021	Publication of new template and revised checklist for New Applicants • M105/ M106/ M108/ M120/ G105/ G106/ G108	Checklists and Forms > New Applicants
04/12/2021	Pre-IPO enquiries should be submitted through e-Submission System (ESS)	Contact Us / Make a Complaint > Contact persons in HKEX Listing Division for Pre-IPO Enquiry and IPO Processing
04/12/2021	Publication of new Listing e-Forms and guidelines for potential / new listing applicants • CIS002/M501/M112/G112/M119/G118/M402/G402 Publication of new checklist and forms for new CIS applicants • CN001 (CIS)	Checklists and Forms > New Applicants
04/12/2021	Publication of revised e-Forms • CF093/FF201G/FF005/CF006/EF001/EF002/EF003/EF004/EF005/IF001/FF304	Checklists and Forms > Main Board Issuers and Checklists and Forms > GEM Issuers
04/12/2021	Publication of revised guidelines • EF001/EF002/EF003/EF004/EF006/FF304	Listing e-Forms

Please click here for all consultation papers and conclusions

Updated 24 Jun 2022

Rules and Guidance

Rule Books

What's New

Cookie Policy