| 14/01/2021 |
Publication of Listing Newsletter: Issue 2 |
Listing > How We Regulate > Listing Newsletters |
| 13/01/2021 |
e-Learning on Equity Fundraising Rules |
Listed Issuers > e-Learning > Equity Fundraising Rules |
| 18/12/2020 |
Publication of Consultation Conclusions Paper on Paperless Listing & Subscription Regime, Online Display of Documents and Reduction of the Types of Documents on Display |
News > Market Consultations |
| 15/12/2020 |
Publication of the Exchange’s Listed Issuer Regulation Newsletter |
Listed Issuers > Current topics > Listed Issuer Regulation Bulletins |
| 11/12/2020 |
Analysis of 2019 Corporate Governance Practice Disclosure |
Listed Issuers > Exchange's Reports > Review of Implementation of Corporate Governance Code |
| 11/12/2020 |
Making inroads into good Corporate Governance and ESG management – Perspectives from industry practitioners |
Rules and Guidance / Corporate Governance Practices
and
Rules and Guidance / Environmental, Social and Governance (ESG)
|
| 27/11/2020 |
Publication of the Exchange’s Enforcement Bulletin
|
Disciplinary & Enforcement > Enforcement Bulletin
|
| 27/11/2020 |
Publication of revised Guidance Letters
• GL55-13
• GL57-13
|
Interpretation and Guidance > Guidance Letters>Guidance Letters for New Applicants |
| 27/11/2020 |
New form CN001 and Listing e-Forms for New Applicants
• SE001/ M103/ G103/ M201_G201/ DU003M/ DU004M/ DU005M/ DU003G/DU004G/ DU005G/ FF004
|
Checklists and Forms > New Applicants |
| 27/11/2020 |
New Listing e-Forms for Main Board Issuers
• CF006/ CF093/ DU003M/ DU004M/ DU005M/ FF004/ FF005/ FFD001M
|
Checklists and Forms > Main Board Issuers |
| 27/11/2020 |
New Listing e-Forms for GEM Issuers
• CF006/ CF093/ DU003G/ DU004G/ DU005G/ FF004/ FF005/ FF201G
|
Checklists and Forms > GEM Issuers |
| 27/11/2020 |
Publication of Guideline
• Contact Details Form For Director / Supervisor / Authorised Representatives / Company Secretary / Compliance Officer
|
Listing e-Forms |
| 27/11/2020 |
Publication of Consultation Paper on the Main Board Profit Requirement |
News > Market Consultations |
| 06/11/2020 |
Publication of Guidance Letter on continuing obligations of authorised collective investment schemes listed under Chapter 20 of the Main Board Listing Rules
• GL109-20 |
Interpretation and Guidance > Guidance Letters |
| 06/11/2020 |
Publication of Frequently Asked Questions
• FAQ No. 072-2020 |
Interpretation and Guidance > Frequently Asked Questions |
| 30/10/2020 |
Publication of Listing e-Forms webpage |
Listing e-Forms |
| 30/10/2020 |
Publication of Consultation Conclusions Paper on Corporate WVR Beneficiaries |
Other Resources > Letters to Issuers |
| 23/10/2020 |
Publication of revised Guidance Letter
• GL106-19
|
Interpretation and Guidance > Guidance Letters |
| 12/10/2020 |
e-Learning on Notifiable Transaction Rules |
Other Resources > Listed Issuers > Connected and Notifiable Transactions |
| 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
|
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
|
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)
|
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
|
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
|
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
|
Disciplinary and Enforcement > Disciplinary Procedures & Enforcement Guidance Materials
|
| 24/06/2020 |
Publication of revised Guidance Letter
• GL51-13
|
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)
|
Interpretation and Guidance > Listing Decisions |
