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  They speak as of their dates of issue; some information may have been superseded.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

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