What's New

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 They speak as of their dates of issue; some information may have been superseded.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
31/03/2023	Publication of revised checklist for new applicants • M105	Checklists, Forms and Templates > New Applicants
30/03/2023	Publication of new Guidance Letter • GL115-23	Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants and Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
24/03/2023	Publication of Consultation Conclusions Paper on a Listing Regime for Specialist Technology Companies	News > Market Consultations
20/03/2023	Publication of the Exchange’s Enforcement Bulletin	Disciplinary & Enforcement > Enforcement Bulletin
28/02/2023	Updates of Guide on General Meetings	Listed Issuers > Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters
28/02/2023	Updates of Frequently Asked Questions on the Joint Statement in relation to Results Announcement and holding of General Meeting	Listed Issuers > Current topics
24/02/2023	Publication of Consultation Paper on Rule Amendments Following Mainland China Regulation Updates and Other Proposed Rule Amendments Relating to PRC Issuers	News > Market Consultations
24/02/2023	Publication of Frequently Asked Question • FAQ No. 118-2023	Interpretation and Guidance > Frequently Asked Questions
20/01/2023	Publication of Report of Review of Issuers’ Annual Reports	Listed Issuers > Exchange's Reports > Review of Issuers' Annual Reports
31/12/2022	Publication of revised e-Forms • M402/ G402	Checklists, Forms and Templates > New Applicants and Listing e-Forms
30/12/2022	Updates and withdrawals of FAQs, Guidance Letters, and Listing Decisions as a result of the Rule changes relating to Share Schemes of Listed Issuers • FAQ Series 8 / 072-2020 • GL11-09 / GL97-18 • LD4-1 / LD13-3 / LD29-3 / LD40-1 / LD40-2 / LD40-3 / LD103-1 / LD9-2011 / LD89-2015 / LD129-2020	Interpretation and Guidance
30/12/2022	Revised Checklists as a result of the Rule changes relating to Share Schemes of Listed Issuers • CF014M / CF019M / DR003M • CF014G / CF019G / DR003G	Forms > Main Board Issuers Forms > GEM Issuers
16/12/2022	Publication of Consultation Paper on Proposals to Expand the Paperless Listing Regime and Other Rule Amendments	News > Market Consultations
10/12/2022	Publication of revised e-Forms • SE001 • M119/ G118 • M103 • M112/ G112 • M201/ G201 • M501 • G103 • CIS002 • DU003M • DU004M • DU005M • DU003G • DU004G • DU005G • FF004	Checklists, Forms and Templates > New Applicants and Listing e-Forms
10/12/2022	Publication of revised e-Forms • CF006 • CF093 • DU003M • DU004M • DU005M • FF004 • FF005 • FFD001M • IF001	Checklists, Forms and Templates > Main Board Issuers and Listing e-Forms
10/12/2022	Publication of revised e-Forms • CF006 • CF093 • DU003G • DU004G • DU005G • FF004 • FF005 • FF201G • IF001	Checklists, Forms and Templates > GEM Issuers and Listing e-Forms
09/12/2022	Publication of revised Guidance Letter • GL113-22	Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers / Guidance Letters for New Applicants
09/12/2022	Publication of the Exchange’s Listed Issuer Regulation Newsletter	Listed Issuers > Current topics > Listed Issuer Regulation Newsletters
02/12/2022	Updates of Frequently Asked Questions • FAQ No. 083-2022 to 101-2022	Interpretation and Guidance > Frequently Asked Questions
25/11/2022	Publication of 2022 Analysis of ESG Practice Disclosure	Listed Issuers > Exchange's Reports > Review of Implementation of Environmental, Social and Governance Reporting Guide
25/10/2022	Publication of the Exchange’s Guidance Note on Cooperation and updated Sanctions Statement and Policy Statement	Disciplinary & Enforcement > Enforcement Guidance Materials
19/10/2022	Publication of Consultation Paper on a Listing Regime for Specialist Technology Companies	News > Market Consultations
08/10/2022	Publication of revised e-Forms for New Applicants • DU003M • DU004M • DU005M • DU003G • DU004G • DU005G • FF004	Checklists and Forms > New Applicants and Listing e-Forms
08/10/2022	Publication of revised e-Forms • DU003M • DU004M • DU005M • FF004 • CF093	Checklists, Forms and Templates > Main Board Issuers and Listing e-Forms
08/10/2022	Publication of revised e-Forms • FF201G • DU003G • DU004G • DU005G • FF004 • CF093	Checklists, Forms and Templates > GEM Issuers and Listing e-Forms
30/09/2022	Publication of revised Checklists for Main Board Issuers • CF014M/ CF019M/ DR003M	Checklists and Forms > Main Board Issuers
30/09/2022	Publication of revised Checklists for GEM Issuers • CF014G/ CF019G/ DR003G/ DR008G/ DR009G	Checklists and Forms > GEM Issuers
16/09/2022	Publication of Frequently Asked Questions • FAQ No. 102-2022 to 117-2022	Interpretation and Guidance > Frequently Asked Questions
09/09/2022	Publication of Listing Decision • LD138-2022	Interpretation and Guidance > Listing Decisions
31/08/2022	Updates of Frequently Asked Questions • FAQ No. 077-2022	Interpretation and Guidance > Frequently Asked Questions
17/08/2022	Publication of the Exchange’s Enforcement Bulletin	Disciplinary & Enforcement > Enforcement Bulletin
04/08/2022	Publication of revised Guidance Letters GL18-10 GL53-13 GL55-13 GL56-13 GL57-13 GL79-14 GL85-16 GL91-18 GL98-18 GL110-21 GL111-22 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

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Updated 31 Mar 2023

Rules and Guidance

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