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  They speak as of their dates of issue; some information may have been superseded.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

17/08/2022 Publication of the Exchange’s Enforcement Bulletin
Disciplinary & Enforcement > Enforcement Bulletin
04/08/2022

Publication of revised Guidance Letters

Updates of Frequently Asked Questions
FAQ No. 077-2022
FAQ (Series 2)

Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants

and

Interpretation and Guidance > Frequently Asked Questions
04/08/2022 Publication of revised e-Forms for New Applicants
• SE001/ M103/ G103/ CIS002
Checklists and Forms > New Applicants
04/08/2022 Publication of revised Checklists and Forms for New Applicants
• CN001/ FFD003M/ M401/ FFD004M/ FF003G/ FF017G/ FF018G/ G401
Checklists and Forms > New Applicants
30/07/2022 Publication of revised e-Form
• FF201G
Checklists and Forms > GEM Issuers

and

Listing e-Forms
30/07/2022 Publication of revised e-Forms and guidelines for New Applicants
• SE001/ M103/ M201/ CIS002/ G103/ G201
Listing e-Forms
29/07/2022 Publication of Consultation Conclusions Paper on Proposed Amendments to Listing Rules relating to Share Schemes of Listed Issuers and Housekeeping Rule Amendment News > Market Consultations
29/07/2022 Publication of Frequently Asked Questions
FAQ No. 083-2022 to 101-2022
Interpretation and Guidance > Frequently Asked Questions
24/06/2022 Publication of Listing Decisions
LD136-2022
LD137-2022
Interpretation and Guidance > Listing Decisions
24/06/2022 Publication of revised Guidance Letter
GL95-18
Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
22/06/2022 Publication of Private Reprimands
Disciplinary & Enforcement > Disciplinary Sanctions 
17/06/2022 Publication of Frequently Asked Questions
FAQ No. 078-2022
FAQ No. 079-2022
FAQ No. 080-2022
FAQ No. 081-2022
FAQ No. 082-2022
Interpretation and Guidance > Frequently Asked Questions
10/06/2022 Publication of the Exchange’s Listing Newsletter How We Regulate > Listing Newsletter
28/05/2022 Publication of revised e-Form
• FF005
Checklists and Forms > Main Board Issuers

and

Checklists and Forms > GEM Issuers
28/05/2022 Publication of revised e-Forms for New Applicants
• G103/M112/G112/M119/G118
Checklists and Forms > New Applicants

and

Listing e-Forms
27/05/2022 Updates of Frequently Asked Question
FAQ No. 077-2022
Interpretation and Guidance > Frequently Asked Questions
20/05/2022
Publication of new Listing Decisions
LD132-2022
LD133-2022
LD134-2022
LD135-2022

Publication of revised Guidance Letter
GL25-11

Interpretation and Guidance > Listing Decisions

and

Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
16/05/2022 Publication of the Exchange’s Listed Issuer Regulation Newsletter Listed Issuers > Current topics > Listed Issuer Regulation Newsletters
29/04/2022  Exchange Launches Board Diversity Repository and Enhances ESG Academy  Sustainability>Board Diversity & Inclusion in Focus

Sustainability>ESG Academy>ESG in Practice
22/04/2022 Publication of Information Paper on (i) Rule amendments on bookbuilding and placing activities in equity capital market transactions and sponsor coupling to complement the new provisions of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission; and (ii) housekeeping Rule amendments

Publication of Frequently Asked Questions
FAQ No. 077-2022

Updates of Frequently Asked Question
FAQ (Series 2)

News > Regulatory Announcements 


and


Listing Regulations > IPO > Listing Matters regarding Sponsor Regulation and Intermediaries Regulation


and


Listing Rules > Amendments to Main Board Listing Rules > 2022


and


Listing Rules > Amendments to GEM Listing Rules > 2022


and


Interpretation and Guidance > Frequently Asked Questions              

08/04/2022 Update of Frequently Asked Questions on the Joint Statement in relation to Results Announcement and holding of General Meeting Listed Issuer > Current topics > COVID-19 Pandemic
14/03/2022 Publication of the Listing Committee Report 2021
How We Regulate > Listing Committee
11/03/2022 Publication of revised Guidance Letters
GL55-13 
Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
11/03/2022 Publication of revised Guidance Letters
GL79-14 
Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
11/03/2022 Publication of revised e-Form guidelines for New Applicants
CIS002/M501/M112/G112/M119/G118 
Checklists and Forms > New Applicants

and

Listing e-Forms
04/03/2022 Publication of new Guidance Letter
GL114-22
Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants

and

Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
02/03/2022 Update of Frequently Asked Questions on the Joint Statement in relation to Results Announcement and holding of General Meeting Listed Issuer > Current topics > COVID-19 Pandemic
21/02/2022 Update of Frequently Asked Questions on the Joint Statement in relation to Results Announcement  Listed Issuer > Current topics > COVID-19 Pandemic
04/02/2022 Publication of the Exchange’s Enforcement Bulletin Disciplinary & Enforcement > Enforcement Bulletin

Please click here for all consultation papers and conclusions

 


Updated 17 Aug 2022