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  They speak as of their dates of issue; some information may have been superseded.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

14/06/2024 Publication of Consultation Paper on Review of Corporate Governance Code and Related Listing Rules News > Market Consultations
08/06/2024 Publication of revised e-Forms
•  For Main Board Issuers: FF301 / FF302 / FF304 / FF305 / CF006 / CF093/ FF004
•  For GEM Issuers: FF301 / FF305 / CF006 / CF093/ FF004
Checklists, Forms and Templates > Equity Securities Issuers > Main Board Issuers

and

Checklists, Forms and Templates > Equity Securities Issuers > GEM Issuers
07/06/2024 Publication of revised Checklists, Forms and Templates to reflect the Rule amendments relating to the treasury share regime
•  For Main Board Issuers: CF025M / CF009M / CF007M / CF092 / CF016M / CF014M / CF015M / CF017M / CF214M / CF026M / CF011M / CF019M / CF005M / CF020M / DR008M / CI205M
•  For GEM Issuers: CF025G / CF009G / CF007G / CF092 / CF016G / CF014G / CF015G / CF008G / CF017G / CF214G / CF026G / CF011G / CF019G / CF005G / CF020G / DR008G / CI205G
Checklists, Forms and Templates > Equity Securities Issuers > Main Board Issuers

and

Checklists, Forms and Templates > Equity Securities Issuers > GEM Issuers
07/06/2024
Updates of Guidance Materials for Listed Issuers to reflect the Rule amendments relating to the treasury share regime
•  GL67-13 / GL76-14 / GL80-15 / GL88-16 / GL116-23 / GL117-23
•  LD44-1 / LD75-5 / LD77-3 / LD93-5 / LD99-1 / LD99-4 / LD101-1 / LD103-1 / LD113-1 / LD8-2011 / LD23-2011 / LD25-2012 / LD26-2012 / LD54-2013 / LD56-2013 / LD71-2013 / LD82-2014 / LD83-2014 / LD79-2014 / LD110-2017 / LD114-2017 / LD124-2020 / LD125-2020 / LD128-2020
•  FAQ6.1 – No.1-4 / FAQ6.2 – No.1-3 / FAQ6.4 – No.1 / FAQ7 – No.1 / FAQ8 – No.1-9 / FAQ11.2 – No.1-33 / FAQ12.5 – No.1 / FAQ12.6 – No.1-16 / FAQ13 – No.1-20 / FAQ18.4 – No.1-4
Guidance > Guidance Materials for Listed Issuers
07/06/2024 Updates of Guides to reflect the Rule amendments relating to the treasury share regime
•  Guide on Trading Arrangements for Selected Types of Corporate Actions
•  Guide on Distribution of Dividends and Other Entitlements
•  Guide on General Meetings
Listed Issuers > Guides on the Exchange’s Practices and Procedures for Handling Listing-related Matters
31/05/2024 Regrouped the Exchange’s Listed Issuer Regulation Newsletters by topics
Listed Issuers > Current topics > Listed Issuer Regulation Newsletters
31/05/2024
Publication of the Exchange’s Listed Issuer Regulation Newsletter
Listed Issuers > Current topics > Listed Issuer Regulation Newsletters
30/05/2024 e-Learning on Share Repurchase and Treasury Shares
Listed Issuers > e-Learning > Share Repurchase and Treasury Shares
24/05/2024 Publication of preview version of revised Next Day Disclosure Return and Monthly Return e-Forms
•  For Main Board Issuers: FF301 (preview) / FF302 (preview) / FF304 (preview) / FF305 (preview)
•  For GEM Issuers: FF301 (preview) / FF305 (preview)

(The final version of the revised e-Forms will be available for download and submission at the e-Submission System from 10 June 2024 (18:00))
Checklists, Forms and Templates > Equity Securities Issuers > Main Board Issuers

and

Checklists, Forms and Templates > Equity Securities Issuers > GEM Issuers
10/05/2024 Updates of Guidance Materials for Listed Issuers
•  Streamlined and regrouped frequently asked questions for listed issuers by topics and withdrew outdated ones
•  Updated guidance letters
    - GL83-15 / GL111-22 / GL112-22 / GL113-22
•  Published consolidated version of Guidance Materials for Listed Issuers 
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
10/05/2024
Publication of new Frequently Asked Questions
•  FAQ4.1 – No.2 / FAQ6.1 – No.4 / FAQ11.2 – No.6 / FAQ17.3 – No.11
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
10/05/2024
Updated Guides for Rule reference
•  Guide on practices and procedures for post-vetting announcements of listed issuers / Guide on selection of headlines and title of documents under electronic disclosure / Guide on trading arrangements for selected types of corporate actions / Guide on distribution of dividends and other entitlements / Guide on general meetings
Listed Issuers > Guides on the Exchange’s Practices and Procedures for Handling Listing-related Matters
10/05/2024 Updates of Guide for New Listing Applicants to include (i) an annex of frequently asked questions relating to New Listing; (ii) further guidance on placing related matters; and (iii) a new listing decision with regards to change of company’s name
Interpretation and Guidance > Guidance > Guide for New Listing Applicants
10/05/2024 Publication of Regrouped Frequently Asked Questions for Debt Securities Issuers
Listing Regulations>Debt Securities>Guidance
10/05/2024 Publication of New and Regrouped Frequently Asked Questions for Structured Products Issuers
Listing Regulations>Structured Products> Guidance
30/04/2024 Publication of the Exchange’s Enforcement Bulletin  Disciplinary & Enforcement > Enforcement Bulletin
23/04/2024 Publication of new Frequently Asked Questions
•  FAQ No. 163-2024 to 164-2024
Interpretation and Guidance > Frequently Asked Questions
19/04/2024 Publication of Consultation Conclusions on Enhancement of Climate-related Disclosures under the Environmental, Social and Governance Framework News > Market Consultations
19/04/2024
Publication of Implementation Guidance for Climate Disclosures under HKEX ESG Reporting Framework
Sustainability & Corporate Governance > ESG Academy > Publication and Training > Guides
12/04/2024 Publication of Consultation Conclusions Paper on Proposed Amendments to Listing Rules Relating to Treasury Shares
News > Market Consultations
12/04/2024
Publication of new Frequently Asked Questions
•  FAQ No. 156-2024 to 162-2024
Interpretation and Guidance > Frequently Asked Questions
12/04/2024
Publication of new Guidance Letter
•  GL119-24
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
26/01/2024 Publication of Report of Review of Issuers’ Annual Reports
Listed Issuers > Exchange's Reports > Review of Issuers' Annual Reports
11/01/2024 Publication of Private Reprimands
Disciplinary & Enforcement > Disciplinary Sanctions
06/01/2024 Publication of revised Checklists and Forms
•  For Main Board New Applicants / GEM New Applicants: FF004
•  For Main Board Issuers / GEM Issuers: FF004
•  For Main Board Debt Securities Issuers / GEM Debt Securities Issuers: FF004
Checklists and Forms > New Applicants > Main Board New Applicants / GEM New Applicants

and

Checklists and Forms > Equity Securities Issuers > Main Board Issuers / GEM Issuers

and

Checklists and Forms > Debt Securities Issuers > Main Board Debt Securities Issuers / GEM Debt Securities Issuers
29/12/2023 Publication of new Frequently Asked Questions
•  FAQ No. 138-2024 to 155-2024
Interpretation and Guidance > Frequently Asked Questions 
29/12/2023 Updates of Frequently Asked Questions
•  Series 1 / Series 2 / Series 6 / Series 7 / Series 8 / Series 9 / Series 11 / Series 14 / Series 17 / Series 18 / Series 20 / Series 22 / Series 24 / Series 25 / Series 26 / Series 31 / 002-2017 to 004-2017 / 053-2019 / 054-2019 to 056-2019 / 075-2021 / 077-2022 / 078-2022 to 082-2022 / 083-2022 to 101-2022 / 102-2022 to 117-2022
Interpretation and Guidance > Frequently Asked Questions
29/12/2023 Withdrawals of Frequently Asked Questions
•  Series 5 / 008-2017 to 022-2017
Interpretation and Guidance > Frequently Asked Questions
29/12/2023 Publication of revised Checklists and Forms
•  For Main Board New Applicants / GEM New Applicants: M120 / M101/ M119 / SE001 / M103 / M104 / M111 / M112 / M119 / FF004 / M201 / M501 / CIS002 / T103 / MT001 / MT002 / MT003 / M105 / M106 / M107 / M108 / G101 / G118 / G103/ G104 / G111 / G112 / FF004 / G201 / FF003G / GT001/ GT002 / GT003 / G105 / G106 / G107 / G108
•  For Main Board Issuers / GEM Issuers: CF025M / CF009M / CF007M / CF092 / CF016M / CF014M / CF015M / CF017M / CF214M / CF026M / CF011M / CF019M / CF028M / CF005M / CF020M / CF021M / DR001M / DR002M / DR003M / DR004M / DR005M / DR006M / DR007M / DR008M / DR009M / DR012M / FFD001M / FFD007M / FFD008M / FFD003M / FF004 / FF005 / CF025G / CF009G / CF007G / CF092 / CF016G / CF014G / CF015G / CF008G / CF017G / CF214G / CF026G / CF011G / CF019G / CF005G / CF020G / CF021G / DR001G / DR002G / DR003G / DR004G / DR005G / DR006G / DR007G / DR008G / DR009G / DR012G / FF201G / FF017G / FF003G
•  For Main Board Debt Securities Issuers / GEM Debt Securities Issuers: M103 / FFD002M / FF004 / FFD004M / MT001 / MT003 / MT004 / FF202G / FF018G / FF003G / FF004 / GT001 / GT003 / GT004

Checklists and Forms > New Applicants > Main Board New Applicants / GEM New Applicants

and

Checklists and Forms > Equity Securities Issuers > Main Board Issuers / GEM Issuers

and

Checklists and Forms > Debt Securities Issuers > Main Board Debt Securities Issuers / GEM Debt Securities Issuers
29/12/2023 Updates of Guidance Materials for Listed Issuers
•  Regrouped guidance letters and listing decisions by topics
•  Streamlined listing decisions and incorporated them into related guidance letters
    - GL104-19 / GL106-19 / GL108-20
•  Updated guidance letters to reflect the publication of the Guide for New Listing Applicants, the Rule amendments relating to the paperless listing regime and the GEM Listing Reforms, and/or other minor changes
   - GL67-13 / GL69-13 / GL71-14 / GL76-14 / GL77-14 / GL79-14 / GL83-15 / GL95-18 / GL96-18 / GL103-19 / GL108-20 / GL109-20 / GL111-22 / GL112-22 / GL113-22 / GL116-23 / GL118-23
Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
29/12/2023 Publication of Frequently Asked Question
• FAQ No. 137-2023
Interpretation and Guidance > Frequently Asked Questions
29/12/2023 Updates of Guide for New Listing Applicants to reflect recent regulatory updates in relation to (i) GEM Listing Reforms; and (ii) the electronic submission of prospectus and accompanying documents to the Exchange and the Companies Registry for authorisation and registration
Interpretation and Guidance > Guidance > Guide for New Listing Applicants
15/12/2023 Publication of Consultation Conclusions Paper on GEM Listing Reforms
News > Market Consultations
13/12/2023 Publication of revised Frequently Asked Questions
• FAQ No. 119-2023 to 136-2023
Interpretation and Guidance > Frequently Asked Questions
13/12/2023 Publication of new Guidance Letter
GL118-23
Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers / Guidance Letters for New Applicants

Please click here for all consultation papers and conclusions

 


Updated 14 Jun 2024