Market Turnover
-






-
-
|
|
|
|
|
|
-
-
-
Loading

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  They speak as of their dates of issue; some information may have been superseded.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

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
28/01/2022 Publication of revised Country Guides
Australia 
Austria 
Brazil 
British Virgin Islands 
Canada – Alberta 
Canada – British Columbia 
Cyprus 
England & Wales 
France 
Germany 
Guernsey 
India 
Ireland 
Isle of Man 
Israel 
Italy 
Japan 
Jersey 
Republic of Korea 
Labuan 
Luxembourg 
Netherlands 
Russia 
Singapore (the Republic of) 
United States of America – State of California 
United States of America – State of Delaware 
United States of America - State of Nevada 

       
Publication of revised Listing Decision
LD27-2012 
Listing of Overseas Companies > List of overseas jurisdictions where securities of companies incorporated therein have been accepted for trading on the Exchange

and

Archive > Archive – Country Guides

and

Interpretation and Guidance > Listing Decisions

and
Archive > Archive - Listing Decisions
28/01/2022 Publication of Report of Review of Issuers’ Annual Reports Listed Issuers > Exchange's Reports > Review of Issuers' Annual Reports
28/01/2022 e-Learning on Trading Arrangements for Corporate Actions Listed Issuers > e-Learning > Trading Arrangements for Corporate Actions
28/01/2022 Publication of Private Reprimands Disciplinary & Enforcement > Disciplinary Sanctions
01/01/2022 Publication of revised Listing e-Forms and guidelines for Main Board Issuers
DU003M/ DU004M 
 
Publication of revised e-Form guidelines for Main Board Issuers
DU005M
Checklists and Forms > Main Board Issuers

and
 
Listing e-Forms
01/01/2022 Publication of revised Listing e-Forms and guidelines for GEM Issuers
DU003G/ DU004G 

Publication of revised e-Form guidelines for GEM Issuers
DU005G
Checklists and Forms > GEM Issuers

and
 
Listing e-Forms
01/01/2022 Publication of revised Listing e-Forms and guidelines for new listing applicants
M402/ G402/ DU003M/ DU003G/ DU004M/ DU004G 

Publication of revised e-Form guidelines for new listing applicants
DU005M/ DU005G
Listing e-Forms
01/01/2022 Publication of revised Checklists and Forms and guidelines for New Applicants
M402/ G402/ DU003M/ DU003G/ DU004M/ DU004G 

Publication of revised guidelines on Checklists and Forms for New Applicants
DU005M/ DU005G
Checklists and Forms > New Applicants
 31/12/2021 Publication of new Guidance Letters
GL111-22
GL112-22
GL113-22

Publication of revised Guidance Letters
GL26-12
GL46-12
GL55-13
GL56-13
GL57-13
GL86-16
GL93-18
GL94-18
GL102-19

Publication of revised Listing Decisions
LD28-2012
LD43-3
LD57-2013
LD74-1
LD93-2016
LD99-3
LD114-1

Withdrawal of Listing Decision
LD85-1

Publication of Frequently Asked Questions
FAQ No. 076-2022

Updates of Frequently Asked Questions
FAQ (Series 1)
FAQ (Series 6)
FAQ (Series 9)
FAQ (Series 25)
FAQ (Series 26)
FAQ No. 030-2018 to 044-2018
FAQ No. 059-2019 to 067-2019
FAQ No. 075-2021
Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants

and

Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers

and

Interpretation and Guidance > Listing Decisions

and

Archive > Archive - Listing Decisions

and

Interpretation and Guidance > Frequently Asked Questions
30/12/2021 e-Learning on Continuing Disclosure Obligations and Trading Halt
Listed Issuers > e-Learning > Continuing Disclosure Obligations and Trading Halt
29/12/2021 Updates of Frequently Asked Questions on Corporate Governance Code and Related Listing Rules
• FAQ Series 17
Interpretation and Guidance > Frequently Asked Questions
17/12/2021 Publication of Consultation Conclusions Paper on Special Purpose Acquisition Companies News > Market Consultations
17/12/2021 Publication of new template and revised checklist for New Applicants
• M104/ M105/ M106
Checklists and Forms > New Applicants
17/12/2021 Publication of the Exchange’s Listed Issuer Regulation Newsletter
Listed Issuers > Current topics > Listed Issuer Regulation Bulletins
13/12/2021 Publication of Application Form
Scheme for quarantine-free travel to the Mainland (English version only) 
Listed Issuer > Current topics > COVID-19 Pandemic
10/12/2021 Publication of Corporate Governance Guide for Boards and Directors
Rules and Guidance > Corporate Governance Practices
10/12/2021 Publication of Consultation Conclusions Paper on Corporate Governance Code & Related Listing Rules, and Housekeeping Rule Amendments
News > Market Consultations
10/12/2021 Publication of new template and revised checklist for New Applicants
M105/ M106/ M108/ M120/ G105/ G106/ G108 
Checklists and Forms > New Applicants
04/12/2021 Pre-IPO enquiries should be submitted through e-Submission System (ESS) Contact Us / Make a Complaint > Contact persons in HKEX Listing Division for Pre-IPO Enquiry and IPO Processing
04/12/2021 Publication of new Listing e-Forms and guidelines for potential / new listing applicants
CIS002/M501/M112/G112/M119/G118/M402/G402 

Publication of new checklist and forms for new CIS applicants
CN001 (CIS)
Checklists and Forms > New Applicants
04/12/2021 Publication of revised e-Forms
CF093/FF201G/FF005/CF006/EF001/EF002/EF003/EF004/EF005/IF001/FF304
Checklists and Forms > Main Board Issuers

and

Checklists and Forms > GEM Issuers
04/12/2021 Publication of revised guidelines
EF001/EF002/EF003/EF004/EF006/FF304
Listing e-Forms

Please click here for all consultation papers and conclusions

 


Updated 24 Jun 2022