| 30/9/2020 |
Updates and withdrawals of Guidance Letters, FAQs and Listing Decisions as a result of the Rule changes on Codification of General Waivers and Principles Relating to IPOs and Listed Issuers and Minor Rule Amendments
• GL7-09/ GL10-09/ GL16-09/ GL31-12/ GL32-12/ GL56-13/ GL58-13/ GL60-13
• FAQ Series 1, No. 49/ Series 2, No. 3/ 069-2019
• LD25-2012/ LD99-5/ LD83-1/ LD18-2011/ LD9-2011/ LD35-1/ LD47-2013/ LD81-2014/ LD15-3/ LD50-2/ LD94-1/ LD38-2012
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Interpretation and Guidance |
| 30/9/2020 |
Revised Checklists and Forms as a result of the Rule changes on Codification of General Waivers and Principles Relating to IPOs and Listed Issuers and Minor Rule Amendments
• CF025G/ FF201G/ FF003G/ DU004G/ DU005G
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Forms > GEM Issuers |
| 04/09/2020 |
Publication of Listing Decisions
• Whether Company X can seek a prior mandate from its shareholders on a one-off basis to issue new shares over a period of time under a share issuance proposal under GEM Rule 17.39 (LD128-2020)
• Whether Company A's proposal to grant options to a discretionary trust under a share option scheme would meet the requirements under Chapter 17 of the Main Board Rules (LD129-2020)
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Interpretation and Guidance > Listing Decisions |
| 28/08/2020 |
Publication of Consultation Conclusions on Codification of General Waivers and Principles relating to IPOs and Listed Issuers and Minor Rule Amendments
Publication of new Guidance Letter on Experience and Qualification Requirements of a Company Secretary
• GL108-20 |
Other Resources – Letters to Issuers
Interpretation and Guidance > Guidance Letters |
| 28/08/2020 |
Publication of revised Guidance Letter
• GL53-13
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Interpretation and Guidance > Guidance Letters |
| 21/08/2020 |
Publication on Consultation Conclusions on Review of Chapter 37 – Debt Issues to Professional Investors Only and Guidance on Disclosures in Listing Documents and Continuing Obligations under Chapter 37 – Debt Issues to Professional Investors Only |
Other Resources > Letters to Issuers |
| 07/08/2020 |
Publication of Consultation Paper on Review of Listing Rules relating to Disciplinary Powers and Sanctions |
Other Resources > Letters to Issuers |
| 24/07/2020 |
Publication of Consultation Paper on Proposals to Introduce a Paperless Listing & Subscription Regime, Online Display of Documents and Reduction of the Types of Documents on Display |
Other Resources > Letters to Issuers |
| 24/07/2020 |
Publication of updated Guidance Letter on CG and ESG for IPO Applicants
• GL86-16
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Interpretation and Guidance > Guidance Letters |
| 17/07/2020 |
e-Learning on Connected Transaction Rules |
Other Resources > Listed Issuers > Connected and Notifiable Transactions |
| 06/07/2020 |
Publication of Listing Newsletter: Issue 1 |
Listing > How We Regulate > Listing Newsletters |
| 26/06/2020 |
Publication of Disciplinary Procedures and Enforcement Guidance Materials
• Disciplinary Procedures – Listing Committee (for disciplinary actions commenced on or after 26 June 2020)
• Disciplinary Procedures – Listing Review Committee
• Statement on Settlement of Disciplinary Matters involving Listing Rule Breaches
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Disciplinary and Enforcement > Disciplinary Procedures & Enforcement Guidance Materials
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| 24/06/2020 |
Publication of revised Guidance Letter
• GL51-13
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Interpretation and Guidance > Guidance Letters |
| 08/06/2020 |
Publication of Application Form for Exemption for Directors or Executives of Hong Kong-listed Companies Included in Hang Seng Index, Hang Seng China Enterprises Index or Hang Seng Composite LargeCap, MidCap or SmallCap Index |
Other Resources > Listed Issuer |
| 05/06/2020 |
Publication of Listing Decisions
• To provide guidance on why the Exchange rejected certain listing applications (LD126-2020)
• To provide guidance on why the Exchange returned certain listing applications (LD127-2020)
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Interpretation and Guidance > Listing Decisions |
| 29/05/2020 |
Regulatory Presentation : New Enhancements to the Biotech Chapter |
Other Resources > New Applicant |
| 22/05/2020 |
Publication of Application Form for Exemption of Directors of Hong Kong-listed Companies or Listing Applicants on Duty Travel to Hong Kong under Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation |
Other Resources > Listed Issuer |
| 29/04/2020 |
Publication of Guidance Materials for Biotech Companies
• GL107-20/ GL92-18/ GL86-16/ GL85-16
• FAQ No. 030-2018 to 044-2018
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Interpretation and Guidance |
| 24/04/2020 |
Publication of the Exchange’s Listed Issuer Regulation Newsletter |
Other Resources > Listed Issuers > Listed Issuer Regulation Newsletter |
| 17/04/2020 |
Publication of Listing Decisions
• Whether the Remaining Group could meet the minimum market capitalisation requirement under Rule 8.09(2) (LD124-2020)
• Whether the Remaining Group could meet the minimum market capitalisation requirement under Rule 8.09(2) (LD125-2020)
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Interpretation and Guidance > Listing Decisions |
| 17/04/2020 |
Publication of Frequently Asked Questions
• FAQ No. 071-2020
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Interpretation and Guidance > Frequently Asked Questions |
| 17/04/2020 |
Update of Frequently Asked Questions
• FAQ No. 045-2018 to 052-2018 (Added No. 045A-2018)
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Interpretation and Guidance > Frequently Asked Questions |
| 01/04/2020 |
Joint Statement in relation to General Meetings in light of the Prevention and Control of Disease (Prohibition on Group Gathering) Regulation |
Other Resources > Listed Issuer |
