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  They speak as of their dates of issue; some information may have been superseded.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

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
16/03/2020 Publication of Further Guidance on the Joint Statement in relation to Results Announcements in light of the COVID-19 Pandemic Other Resources > Listed Issuer > Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent and Frequently Asked Questions
13/03/2020 Publication of the Exchange’s Biannual Enforcement Newsletter Disciplinary & Enforcement > Enforcement Newsletter
06/03/2020 E-training and guidance materials on ESG reporting Other Resources > Letters to Issuers
28/02/2020

Publication of Guidance Materials on ESG reporting:

•  FAQ Series 18

Interpretation and Guidance
28/02/2020

Publication of revised Guidance Letters and FAQs as a result of Streamlining Guidance Materials Relating to Listing Matters:

•  GL36-12/ GL52-13/ GL89-16

•  FAQ No. 008-2017 to 022-2017/ FAQ Series 1/ FAQ Series 5/ FAQ Series 8/ FAQ Series 20/ FAQ Series 24/ FAQ Series 26/ FAQ Series 31

Interpretation and Guidance
28/02/2020  Publication of frequently asked questions on the Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent
Other Resources > Listed Issuer
04/02/2020 Publication of Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent Other Resources > Listed Issuer
31/01/2020 Publication of Consultation Paper on Corporate WVR Beneficiaries Other Resources > Letters to Issuers
31/01/2020 Publication of Review of Issuers’ Annual Report Disclosure – Report 2019 Other Resources > Letters to Issuers
31/01/2020 Review of Issuers’ Annual Report Disclosure – Report 2019 Other Resources > Listed Issuers > Exchange’s Review of Issuer’s Annual Disclosure > Review of Issuers’ Annual Report Disclosure
18/12/2019 Publication of ESG Guide Consultation Conclusions and Review of Issuers’ ESG Practice Disclosure Other Resources > Letters to Issuers
06/12/2019

Withdrawal of Listing Decision

•  LD67-2013

Interpretation and Guidance > Listing Decisions
06/12/2019 Publication of Consultation Paper on Review of Chapter 37 – Debt Issues to Professional Investors Only Other Resources > Letters to Issuers
22/11/2019 Publication of the Exchange’s Listed Issuer Regulation Newsletter Other Resources> Listed Issuers> Listed Issuer Regulation Newsletter
08/11/2019 Question on amendments to articles of association Interpretation and Guidance > Frequently Asked Questions
29/10/2019

•  Securities Admission into CCASS

•  Template for Acceptable Jurisdiction Application

•  Alternative Procedures for U.S. “Domestic Issuers” within the Meaning of the U.S. Securities Act with an Offering of a Security Subject to Regulation S (“Regulation S Securities”)

•  Explanation of Restrictions to Regulation S Securities of Companies Listed on the Exchange

Listing > Rules and Guidance > Other Resources >Listing of Overseas Companies
18/10/2019 Amendments to GEM Listing Rules relating to the unwinding of the delegated authority Listing Rules > Amendments to GEM Listing Rules
30/09/2019

Publication of FAQs

•  Questions on the notifiable transaction requirements relating to securities transactions (057-2019)    

•  Questions relating to H-share issuers whose domestic shares are quoted on the National Equities Exchange and Quotations (NEEQ) (068-2019 to 069-2019)

Interpretation and Guidance > Frequently Asked Questions
30/09/2019 

Publication of Guidance Letters for Listed Issuers

•  Guidance on application of the reverse takeover Rules (GL104-19)    

•  Guidance on Large Scale Issues of Securities (GL105-19)

•  Guidance on sufficiency of operations (GL106-19)

Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
30/09/2019

Updates and withdrawals of FAQs, Guidance Letters, and Listing Decisions as a result of the Rule changes on Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments

•  FAQ Series 7/ Series 9

•  GL66-13/ GL68-13A/ GL69-13/ GL78-14/ GL84-15/ GL92-18/ GL95-18/ GL96-18

•  LD37-3/ LD47-5/ LD53-2/ LD62-1/ LD62-2/ LD62-3/ LD62-4/ LD75-1/ LD75-2/ LD75-4/ LD75-5/ LD76-1/ LD83-1/ LD85-1/ LD93-4/ LD95-1/ LD95-2/ LD95-3/ LD95-4/ LD95-5/ LD7-2011/ LD20-2011/ LD21-2011/ LD29-2012/ LD35-2012/ LD39-2013/ LD41-2013/ LD43-2013/ LD44-2013/ LD57-2013/ LD58-2013/ LD59-2013/ LD60-2013/ LD61-2013LD68-2013/ LD88-2015/ LD94-2016/ LD95-2016/ LD96-2016/ LD97-2016/ LD98-2016/ LD99-2016/ LD105-2017/ LD108-2017/ LD109-2017/ LD112-2017/ LD113-2017/ LD115-2017/ LD116-2017/ LD118-2018/ LD122-2019/ LD123-2019

Interpretation and Guidance
30/09/2019  Revised Checklists and Forms as a result of the Rule changes on Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments Forms > Main Board Issuers
30/09/2019  Revised Checklists and Forms as a result of the Rule changes on Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments Forms > GEM Issuers
30/09/2019  Updated Guide on Practices and Procedures for Post-vetting Announcements of Listed Issuers and Handling Matters involving Trading Arrangements prior to Publication of Announcements Listing > Rules and Guidance > Other Resources > Listed Issuers > Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters
30/09/2019  Updates and withdrawals of FAQs

• FAQ Series 7/ Series 31
Interpretation and Guidance > Frequently Asked Questions
06/09/2019 Questions on recognition of overseas audit firms in relation to the amendments to the Financial Reporting Council Ordinance – Effective on 1 October 2019 (FAQ No.059-2019 to 067-2019) Interpretation and Guidance > Frequently Asked Questions

Other Resources > Letters to Issuers


Updated 01 Apr 2020

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