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 They speak as of their dates of issue; some information may have been superseded.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
30/08/2024	Updates of Guide for New Listing Applicants to reflect the temporary modifications to MB Chapters 18B and 18C regarding (i) the minimum initial market capitalisation requirement for Specialist Technology Companies; and (ii) independent third party investment requirements for De-SPAC Transactions	Interpretation and Guidance > Guidance > Guide for New Listing Applicants
30/08/2024	Updates of the guidance letter HKEX-GL113-22 and the frequently asked questions on SPACs to reflect the temporary modifications to MB Chapter 18B regarding the independent third party investment requirements for De-SPAC Transactions	Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
23/08/2024	Joint Announcement of the SFC and the Exchange in relation to Temporary Modifications to Requirements for Specialist Technology Companies and De-SPAC Transactions	News > Regulatory Announcements
16/08/2024	Publication of Consultation Paper on Proposals to Further Expand the Paperless Listing Regime and Other Rule Amendments	News > Market Consultations
19/07/2024	Addition of the Abu Dhabi Securities Exchange (ADX) and the Dubai Financial Market (DFM) to the List of Recognised Stock Exchanges	Listing of Overseas Issuers > List of Recognised Stock Exchanges
17/06/2024	Launch of E-Learning "Exchange's New Climate Requirements"	ESG Academy > Publications and Training
14/06/2024	Publication of Consultation Paper on Review of Corporate Governance Code and Related Listing Rules	News > Market Consultations
08/06/2024	Publication of revised e-Forms • For Main Board Issuers: FF301 / FF302 / FF304 / FF305 / CF006 / CF093/ FF004 • For GEM Issuers: FF301 / FF305 / CF006 / CF093/ FF004	Checklists, Forms and Templates > Equity Securities Issuers > Main Board Issuers and Checklists, Forms and Templates > Equity Securities Issuers > GEM Issuers
07/06/2024	Publication of revised Checklists, Forms and Templates to reflect the Rule amendments relating to the treasury share regime • For Main Board Issuers: CF025M / CF009M / CF007M / CF092 / CF016M / CF014M / CF015M / CF017M / CF214M / CF026M / CF011M / CF019M / CF005M / CF020M / DR008M / CI205M • For GEM Issuers: CF025G / CF009G / CF007G / CF092 / CF016G / CF014G / CF015G / CF008G / CF017G / CF214G / CF026G / CF011G / CF019G / CF005G / CF020G / DR008G / CI205G	Checklists, Forms and Templates > Equity Securities Issuers > Main Board Issuers and Checklists, Forms and Templates > Equity Securities Issuers > GEM Issuers
07/06/2024	Updates of Guidance Materials for Listed Issuers to reflect the Rule amendments relating to the treasury share regime • GL67-13 / GL76-14 / GL80-15 / GL88-16 / GL116-23 / GL117-23 • LD44-1 / LD75-5 / LD77-3 / LD93-5 / LD99-1 / LD99-4 / LD101-1 / LD103-1 / LD113-1 / LD8-2011 / LD23-2011 / LD25-2012 / LD26-2012 / LD54-2013 / LD56-2013 / LD71-2013 / LD82-2014 / LD83-2014 / LD79-2014 / LD110-2017 / LD114-2017 / LD124-2020 / LD125-2020 / LD128-2020 • FAQ6.1 – No.1-4 / FAQ6.2 – No.1-3 / FAQ6.4 – No.1 / FAQ7 – No.1 / FAQ8 – No.1-9 / FAQ11.2 – No.1-33 / FAQ12.5 – No.1 / FAQ12.6 – No.1-16 / FAQ13 – No.1-20 / FAQ18.4 – No.1-4	Guidance > Guidance Materials for Listed Issuers
07/06/2024	Updates of Guides to reflect the Rule amendments relating to the treasury share regime • Guide on Trading Arrangements for Selected Types of Corporate Actions • Guide on Distribution of Dividends and Other Entitlements • Guide on General Meetings	Listed Issuers > Guides on the Exchange’s Practices and Procedures for Handling Listing-related Matters
31/05/2024	Regrouped the Exchange’s Listed Issuer Regulation Newsletters by topics	Listed Issuers > Current topics > Listed Issuer Regulation Newsletters
31/05/2024	Publication of the Exchange’s Listed Issuer Regulation Newsletter	Listed Issuers > Current topics > Listed Issuer Regulation Newsletters
30/05/2024	e-Learning on Share Repurchase and Treasury Shares	Listed Issuers > e-Learning > Share Repurchase and Treasury Shares
24/05/2024	Publication of preview version of revised Next Day Disclosure Return and Monthly Return e-Forms • For Main Board Issuers: FF301 (preview) / FF302 (preview) / FF304 (preview) / FF305 (preview) • For GEM Issuers: FF301 (preview) / FF305 (preview) (The final version of the revised e-Forms will be available for download and submission at the e-Submission System from 10 June 2024 (18:00))	Checklists, Forms and Templates > Equity Securities Issuers > Main Board Issuers and Checklists, Forms and Templates > Equity Securities Issuers > GEM Issuers
10/05/2024	Updates of Guidance Materials for Listed Issuers • Streamlined and regrouped frequently asked questions for listed issuers by topics and withdrew outdated ones • Updated guidance letters - GL83-15 / GL111-22 / GL112-22 / GL113-22 • Published consolidated version of Guidance Materials for Listed Issuers	Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
10/05/2024	Publication of new Frequently Asked Questions • FAQ4.1 – No.2 / FAQ6.1 – No.4 / FAQ11.2 – No.6 / FAQ17.3 – No.11	Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
10/05/2024	Updated Guides for Rule reference • Guide on practices and procedures for post-vetting announcements of listed issuers / Guide on selection of headlines and title of documents under electronic disclosure / Guide on trading arrangements for selected types of corporate actions / Guide on distribution of dividends and other entitlements / Guide on general meetings	Listed Issuers > Guides on the Exchange’s Practices and Procedures for Handling Listing-related Matters
10/05/2024	Updates of Guide for New Listing Applicants to include (i) an annex of frequently asked questions relating to New Listing; (ii) further guidance on placing related matters; and (iii) a new listing decision with regards to change of company’s name	Interpretation and Guidance > Guidance > Guide for New Listing Applicants
10/05/2024	Publication of Regrouped Frequently Asked Questions for Debt Securities Issuers	Listing Regulations>Debt Securities>Guidance
10/05/2024	Publication of New and Regrouped Frequently Asked Questions for Structured Products Issuers	Listing Regulations>Structured Products> Guidance
30/04/2024	Publication of the Exchange’s Enforcement Bulletin	Disciplinary & Enforcement > Enforcement Bulletin
23/04/2024	Publication of new Frequently Asked Questions • FAQ No. 163-2024 to 164-2024	Interpretation and Guidance > Frequently Asked Questions
19/04/2024	Publication of Consultation Conclusions on Enhancement of Climate-related Disclosures under the Environmental, Social and Governance Framework	News > Market Consultations
19/04/2024	Publication of Implementation Guidance for Climate Disclosures under HKEX ESG Reporting Framework	Sustainability & Corporate Governance > ESG Academy > Publication and Training > Guides
12/04/2024	Publication of Consultation Conclusions Paper on Proposed Amendments to Listing Rules Relating to Treasury Shares	News > Market Consultations
12/04/2024	Publication of new Frequently Asked Questions • FAQ No. 156-2024 to 162-2024	Interpretation and Guidance > Frequently Asked Questions
12/04/2024	Publication of new Guidance Letter • GL119-24	Interpretation and Guidance > Guidance > Guidance Materials for Listed Issuers
26/01/2024	Publication of Report of Review of Issuers’ Annual Reports	Listed Issuers > Exchange's Reports > Review of Issuers' Annual Reports
11/01/2024	Publication of Private Reprimands	Disciplinary & Enforcement > Disciplinary Sanctions
06/01/2024	Publication of revised Checklists and Forms • For Main Board New Applicants / GEM New Applicants: FF004 • For Main Board Issuers / GEM Issuers: FF004 • For Main Board Debt Securities Issuers / GEM Debt Securities Issuers: FF004	Checklists and Forms > New Applicants > Main Board New Applicants / GEM New Applicants and Checklists and Forms > Equity Securities Issuers > Main Board Issuers / GEM Issuers and Checklists and Forms > Debt Securities Issuers > Main Board Debt Securities Issuers / GEM Debt Securities Issuers

Please click here for all consultation papers and conclusions

Updated 30 Aug 2024