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  They speak as of their dates of issue; some information may have been superseded.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

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
19/11/2021 Publication of Consultation Conclusions Paper on Listing Regime for Overseas Issuers News > Market Consultations
05/11/2021 Publication of revised Guidance Letters
GL55-13
GL57-13
GL79-14
Interpretation and Guidance > Guidance Letters > Guidance Letters for New Applicants
05/11/2021 Publication of revised Listing e-Forms and Announcement Forms
CF093/FF201G/FF005/CF006/EF001/EF002/EF003/EF004/EF005/EF006/IF001/FF304
Listing e-Forms
05/11/2021 Publication of new Listing e-Forms and new Notices to Issuers 
CIS002/M112_G112/M119_G118/M402_G402/M501/DS002
Listing e-Forms
05/11/2021 Publication of Guidance on Climate Disclosures Environmental, Social and Governance (ESG) > Exchange's guidance materials on ESG
05/11/2021 Publication of Analysis of IPO Applicants’ Corporate Governance and ESG Practice Disclosure in 2020/2021 Environmental, Social and Governance (ESG) > Reports on Environmental, Social and Governance Practice Disclosure

and

Corporate Governance Practices
03/11/2021 Publication of revised Checklists for Main Board Issuers
CF011M/CF014M/CF015M/CF016M/CF214M 
Checklists and Forms > Main Board Issuers
03/11/2021 Publication of revised Checklists for GEM Issuers
CF008G/CF011G/CF014G/CF015G/CF016G/CF214G
Checklists and Forms > GEM Issuers
29/10/2021 Publication of Consultation Paper on Proposed Amendments to Listing Rules relating to Share Schemes of Listed Issuers News > Market Consultations
22/10/2021 Updates of Frequently Asked Questions
• FAQ No. 075-2021
Interpretation and Guidance > Frequently Asked Questions
16/10/2021 Publication of revised Listing e-Forms
• DU003G/DU004G/DU005G/DU003M/DU004M/DU005M/FF301/FF302/FF304 
Listing e-Forms

and

Checklists and Forms > Main Board Issuers

and

Checklists and Forms > GEM Issuers

and

Checklists and Forms > New Applicants 
24/09/2021 e-Learning on Continuing Obligations Listed Issuers > e-Learning > Continuing Obligations
17/09/2021 Publication of Consultation Paper on Special Purpose Acquisition Companies News > Market Consultations
12/08/2021 Publication of Listing Newsletter: Issue 3
Listing Regulations > How We Regulate > Listing Newsletters
31/07/2021 Publication of revised Meeting Notification e-Form and guideline Listing e-Forms

and

Checklists and Forms > Main Board Issuers

and

Checklists and Forms > GEM Issuers
30/07/2021 Publication of Listing Decisions
LD130-2021
LD131-2021
Interpretation and Guidance > Listing Decisions
15/07/2021 Publication of the Exchange’s Enforcement Bulletin Disciplinary & Enforcement > Enforcement Bulletin
10/07/2021 Publication of new Announcement Forms, Return e-Forms and Meeting Notification e-Form and guidelines
EF001/EF002/EF003/EF004/EF005/IF001/FF301/FF302/FF303/FF304
Checklists and Forms > Main Board Issuers

and

Checklists and Forms > GEM Issuers
10/07/2021 Publication of new Form Filling Video Guide for Return e-Forms Listing e-Forms
08/07/2021 Publication of Disciplinary Procedures and Enforcement Guidance Materials
Enforcement Policy Statement
• Enforcement Sanctions Statement
Disciplinary and Enforcement > Disciplinary Procedures & Enforcement Guidance Materials
18/06/2021 Publication of Frequently Asked Questions
FAQ No. 075-2021
Interpretation and Guidance > Frequently Asked Questions
12/06/2021 Publication of revised Listing e-Forms for Main Board Issuers
• CF006/FFD001M/FF004/DU003M/DU004M/DU005M
Checklists and Forms > Main Board Issuers

and

Listing e-Forms
12/06/2021 Publication of revised Listing e-Forms for GEM Issuers
CF006/FF201G/FF004/DU003G/DU004G/DU005G
Checklists and Forms > GEM Issuers

and

Listing e-Forms
12/06/2021 Publication of revised Listing e-Forms for New Applicants
• SE001/M201G201/M103/G103/FF004/DU003G/DU004G/DU005G/DU003M/DU004M/DU005M
Checklists and Forms > New Applicants

and

Listing e-Forms
11/06/2021 Publication of new Listing e-Form and guidelines
EF001/EF002/EF003/EF004/EF005/EF006/IF001/FF301/FF302/FF303/FF304 
Listing e-Forms
11/06/2021 Publication of new Notices to Issuers, Video Tutorials, ESS Quick Reference Guides, Manuals and FAQs
Listing e-Forms
11/06/2021 Publication of revised Guidance Letter
GL106-19
Interpretation and Guidance > Guidance Letters > Guidance Letters for Listed Issuers
28/05/2021 Publication of the Exchange’s Listed Issuer Regulation Newsletter Listed Issuers > Current topics > Listed Issuer Regulation Bulletins
21/05/2021 Publication of Frequently Asked Questions
FAQ No. 073-2021
FAQ No. 074-2021
Interpretation and Guidance > Frequently Asked Questions
20/05/2021 Publication of Consultation Conclusions Paper on the Main Board Profit Requirement News > Market Consultations
20/05/2021 Publication of Consultation Conclusions Paper on the Review of Listing Rules Relating to Disciplinary Powers and Sanctions News > Market Consultations

Please click here for all consultation papers and conclusions

 


Updated 04 Dec 2021