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 They speak as of their dates of issue; some information may have been superseded.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

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
16/10/2021	Publication of revised Listing e-Forms • DU003G/DU004G/DU005G/DU003M/DU004M/DU005M/FF301/FF302/FF304	Listing e-Forms and Checklists and Forms > Main Board Issuers and Checklists and Forms > GEM Issuers and Checklists and Forms > New Applicants
24/09/2021	e-Learning on Continuing Obligations	Listed Issuers > e-Learning > Continuing Obligations
17/09/2021	Publication of Consultation Paper on Special Purpose Acquisition Companies	News > Market Consultations
12/08/2021	Publication of Listing Newsletter: Issue 3	Listing Regulations > How We Regulate > Listing Newsletters
31/07/2021	Publication of revised Meeting Notification e-Form and guideline	Listing e-Forms and Checklists and Forms > Main Board Issuers and Checklists and Forms > GEM Issuers
30/07/2021	Publication of Listing Decisions • LD130-2021 • LD131-2021	Interpretation and Guidance > Listing Decisions
15/07/2021	Publication of the Exchange’s Enforcement Bulletin	Disciplinary & Enforcement > Enforcement Bulletin
10/07/2021	Publication of new Announcement Forms, Return e-Forms and Meeting Notification e-Form and guidelines • EF001/EF002/EF003/EF004/EF005/IF001/FF301/FF302/FF303/FF304	Checklists and Forms > Main Board Issuers and Checklists and Forms > GEM Issuers
10/07/2021	Publication of new Form Filling Video Guide for Return e-Forms	Listing e-Forms
08/07/2021	Publication of Disciplinary Procedures and Enforcement Guidance Materials • Enforcement Policy Statement • Enforcement Sanctions Statement	Disciplinary and Enforcement > Disciplinary Procedures & Enforcement Guidance Materials
21/06/2021	Publication of Application Forms • 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 (with effect from 21 June 2021) • 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 (with effect from 21 June 2021)	Listed Issuer > Current topics > COVID-19 Pandemic
18/06/2021	Publication of Frequently Asked Questions • FAQ No. 075-2021	Interpretation and Guidance > Frequently Asked Questions
12/06/2021	Publication of revised Listing e-Forms for Main Board Issuers • CF006/FFD001M/FF004/DU003M/DU004M/DU005M	Checklists and Forms > Main Board Issuers and Listing e-Forms
12/06/2021	Publication of revised Listing e-Forms for GEM Issuers • CF006/FF201G/FF004/DU003G/DU004G/DU005G	Checklists and Forms > GEM Issuers and Listing e-Forms
12/06/2021	Publication of revised Listing e-Forms for New Applicants • SE001/M201G201/M103/G103/FF004/DU003G/DU004G/DU005G/DU003M/DU004M/DU005M	Checklists and Forms > New Applicants and Listing e-Forms
11/06/2021	Publication of new Listing e-Form and guidelines • EF001/EF002/EF003/EF004/EF005/EF006/IF001/FF301/FF302/FF303/FF304	Listing e-Forms
11/06/2021	Publication of new Notices to Issuers, Video Tutorials, ESS Quick Reference Guides, Manuals and FAQs	Listing e-Forms
11/06/2021	Publication of revised Guidance Letter • GL106-19	Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
28/05/2021	Publication of Application Forms • 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 (with effect from 28 May 2021) • 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 (with effect from 28 May 2021)	Listed Issuer > Current topics > COVID-19 Pandemic
28/05/2021	Publication of the Exchange’s Listed Issuer Regulation Newsletter	Listed Issuers > Current topics > Listed Issuer Regulation Bulletins
21/05/2021	Publication of Frequently Asked Questions • FAQ No. 073-2021 • FAQ No. 074-2021	Interpretation and Guidance > Frequently Asked Questions
20/05/2021	Publication of Consultation Conclusions Paper on the Main Board Profit Requirement	News > Market Consultations
20/05/2021	Publication of Consultation Conclusions Paper on the Review of Listing Rules Relating to Disciplinary Powers and Sanctions	News > Market Consultations
16/04/2021	Publication of Consultation Paper on Review of Corporate Governance Code and Related Listing Rules	News Centre > Market Consultations

Please click here for all consultation papers and conclusions

Updated 16 Oct 2021

Rules and Guidance

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