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  They speak as of their dates of issue; some information may have been superseded.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

29/05/2020 Regulatory Presentation : New Enhancements to the Biotech Chapter Other Resources > New Applicant
22/05/2020 Publication of 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 Other Resources > Listed Issuer
29/04/2020

Publication of Guidance Materials for Biotech Companies

GL107-20/ GL92-18/ GL86-16/ GL85-16

FAQ No. 030-2018 to 044-2018

Interpretation and Guidance
24/04/2020 Publication of the Exchange’s Listed Issuer Regulation Newsletter Other Resources > Listed Issuers > Listed Issuer Regulation Newsletter
17/04/2020

Publication of Listing Decisions

•  Whether the Remaining Group could meet the minimum market capitalisation requirement under Rule 8.09(2) (LD124-2020)

•  Whether the Remaining Group could meet the minimum market capitalisation requirement under Rule 8.09(2) (LD125-2020)

Interpretation and Guidance > Listing Decisions
17/04/2020

Publication of Frequently Asked Questions

•  FAQ No. 071-2020

Interpretation and Guidance > Frequently Asked Questions
17/04/2020

Update of Frequently Asked Questions

•  FAQ No. 045-2018 to 052-2018 (Added No. 045A-2018)

Interpretation and Guidance > Frequently Asked Questions
01/04/2020 Joint Statement in relation to General Meetings in light of the Prevention and Control of Disease (Prohibition on Group Gathering) Regulation Other Resources > Listed Issuer
16/03/2020 Publication of Further Guidance on the Joint Statement in relation to Results Announcements in light of the COVID-19 Pandemic Other Resources > Listed Issuer > Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent and Frequently Asked Questions
13/03/2020 Publication of the Exchange’s Biannual Enforcement Newsletter Disciplinary & Enforcement > Enforcement Newsletter
06/03/2020 E-training and guidance materials on ESG reporting Other Resources > Letters to Issuers
28/02/2020

Publication of Guidance Materials on ESG reporting:

•  FAQ Series 18

Interpretation and Guidance
28/02/2020

Publication of revised Guidance Letters and FAQs as a result of Streamlining Guidance Materials Relating to Listing Matters:

•  GL36-12/ GL52-13/ GL89-16

•  FAQ No. 008-2017 to 022-2017/ FAQ Series 1/ FAQ Series 5/ FAQ Series 8/ FAQ Series 20/ FAQ Series 24/ FAQ Series 26/ FAQ Series 31

Interpretation and Guidance
28/02/2020  Publication of frequently asked questions on the Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent
Other Resources > Listed Issuer
04/02/2020 Publication of Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent Other Resources > Listed Issuer
31/01/2020 Publication of Consultation Paper on Corporate WVR Beneficiaries Other Resources > Letters to Issuers
31/01/2020 Publication of Review of Issuers’ Annual Report Disclosure – Report 2019 Other Resources > Letters to Issuers
31/01/2020 Review of Issuers’ Annual Report Disclosure – Report 2019 Other Resources > Listed Issuers > Exchange’s Review of Issuer’s Annual Disclosure > Review of Issuers’ Annual Report Disclosure
18/12/2019 Publication of ESG Guide Consultation Conclusions and Review of Issuers’ ESG Practice Disclosure Other Resources > Letters to Issuers
06/12/2019

Withdrawal of Listing Decision

•  LD67-2013

Interpretation and Guidance > Listing Decisions
06/12/2019 Publication of Consultation Paper on Review of Chapter 37 – Debt Issues to Professional Investors Only Other Resources > Letters to Issuers
22/11/2019 Publication of the Exchange’s Listed Issuer Regulation Newsletter Other Resources> Listed Issuers> Listed Issuer Regulation Newsletter
08/11/2019 Question on amendments to articles of association Interpretation and Guidance > Frequently Asked Questions


Updated 29 May 2020

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