Listing Rules and Guidance: Contents


 
 

The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. Hyperlinked cross references are now available in the HTML versions.

In the case of discrepancies between HTML and PDF versions of the HKEX Rules, Interpretation and Guidance, the PDF version prevails.

  Versions
(3 versions)
 

Appendix 24 Headline Categories
View Current PDF

The following documents are submitted by issuers for publication on our website as listed companies information:-

Equity

1. Headline Categories for Announcements and Notices (as set out in Schedule 1)
2. Headline Categories for Circulars (as set out in Schedule 2)
3. Headline Categories for Listing Documents (as set out in Schedule 3)
4. Headline Categories for Financial Statements/ESG Information (as set out in Schedule 4)
5. Headline Category — Next Day Disclosure Returns (as set out in Schedule 4A)
5A. Headline Category — Monthly Returns
6. Headline Category — Proxy Forms
7. Headline Category — Company Information Sheet (GEM)
8. Headline Category — Trading Information of Exchange Traded Funds
9. Headline Category — Trading Information of Leveraged and Inverse Products
10. Headline Category — Constitutional Documents

Debt and Structured Products

11. Headline Categories for Debt and Structured Products (as set out in Schedule 5)

Application Proofs and Post Hearing Information Packs or PHIPs

12. Headline Category for Application Proofs and Post Hearing Information Packs or PHIPs (as set out in Schedule 6)

Schedule 1
Headline Categories for Announcements and Notices

Connected Transactions

Auditors or INEDs Unable to Confirm Matters relating to Continuing Connected Transaction
Connected Transaction
Continuing Connected Transaction
Guaranteed Net Tangible Assets or Profits
Waiver in respect of Connected Transaction Requirements

Corporate Positions and Committees/Corporate Changes

Amendment of Constitutional Documents
Change in a Director's or Supervisor's Biographical Details
Change in Auditors
Change in Class Rights
Change in Company Secretary
Change in Compliance Adviser
Change in Compliance Officer
Change in Directors or of Important Executive Functions or Responsibilities
Change in Financial Year End
Change in Registered Address or Office, Registered Place of Business in HK or Agent for Service of Process in HK
Change in Share Registrar/Transfer Agent
Change in Supervisors
Change in Chief Executive
Change of Audit Committee Member
Change of Remuneration Committee Member
Change of Company Name
List of Directors and their Role and Function
Non-compliance with Audit Committee Requirements
Non-compliance with Remuneration Committee Requirements
Non-compliance with Compliance Officer Requirements
Non-compliance with INED Requirements or INED Failing to Meet Independence Guidelines
Terms of Reference of the Audit Committee
Terms of Reference of the Remuneration Committee
Terms of Reference of the Nomination Committee
Terms of Reference of Other Board Committees

Financial Information

Advance to an Entity
Date of Board Meeting
Delay in Results Announcement
Dividend or Distribution
Final Results
Financial Assistance and/or Guarantee to Affiliated Company
Interim Results
Net Asset Value
Profit Warning
Prior Period Adjustments due to Correction of Material Errors
Qualified and/or Modified Audit Report
Quarterly Results
Results of a Subsidiary
Revision of Information in Published Preliminary Results
Revision of Published Financial Statements and Reports

Meetings/Voting
Change of Voting Intention
Material Information after Issue of Circular
Nomination of Director by Shareholder
Notice of AGM
Notice of EGM/SGM
Re-election or Appointment of Director subject to Shareholders' Approval
Results of AGM
Results of EGM/SGM
Change in Auditors subject to Shareholders' Approval

New Listings (Listed Issuers/New Applicants)

Allotment Results
Formal Notice
Listing of Securities by way of Introduction
Striking Price on Offer for Subscription or for Sale by Tender
Supplemental Information regarding IPO
Transfer of listing from GEM to Main Board
Mixed Media Offer

Notifiable Transactions

Delay in Completion
Discloseable Transaction
Major Transaction
Reverse Takeover
Share Transaction
Termination of Transaction
Variation to Terms
Very Substantial Acquisition
Very Substantial Disposal

Reorganisation/Change in Shareholding/Major Changes/Public Float/Listing Status

Announcement by Offeree Company under the Takeovers Code
Announcement by Offeror Company under the Takeovers Code
Change in Principal Business Activities
Change in Shareholding
Charging or Pledging of Shares by Shareholder
Concentration of Shareholdings
Dealing in Securities by Director where Otherwise Prohibited under Model Code
Group Restructuring or Scheme of Arrangement
Lack of Open Market in Securities
Listing on Overseas Exchange or Securities Market
Privatisation/Withdrawal or Cancellation of Listing of Securities
Resumption
Spin-off
Sufficiency of Assets and/or Operations and/or Issuer becoming Cash Company
Sufficiency of Public Float
Suspension
Trading Halt
Winding Up and Liquidation of Issuer, its Holding Company or Major Subsidiary

Securities/Share Capital

Announcement pursuant to Code on Share Buy-backs
Capital Reorganisation
Capitalisation Issue
Change in Board Lot Size
Change in Terms of Securities or Rights attaching to Securities
Change of Dividend Payment Date
Closure of Books or Change of Book Closure Period
Consideration Issue
Conversion of Securities
Intention to Sell Shares of Untraceable Member
Issue of Convertible Securities
Issue of Debt Securities
Issue of Preference Shares
Issue of Securities by Major Subsidiary
Issue of Shares under a General Mandate
Issue of Shares under a Specific Mandate
Issue of Warrants
Movements in Issued Share Capital
Open Offer
Placing
Rights Issue
Share Option Scheme
Trading Arrangements (other than Change in Board Lot Size)

Miscellaneous

Breach of Loan Agreement
Clarification of News or Reports — Qualified
Clarification of News or Reports — Standard or Super
Delay in Dispatch of Circular or other Document
Inside Information
Loan Agreement with Specific Performance Covenant
Matters relating to Collective Investment Schemes
Matters relating to Options
Mining Activities Undertaken by Listed Issuers
Other — Business Update
Other — Corporate Governance Related Matters
Other — Litigation
Other — Miscellaneous
Other — Trading Update
Overseas Regulatory Announcement — Board/Supervisory Board Resolutions
Overseas Regulatory Announcement — Business Update
Overseas Regulatory Announcement — Corporate Governance Related Matters
Overseas Regulatory Announcement — Issue of Securities and Related Matters
Overseas Regulatory Announcement — Other
Overseas Regulatory Announcement — Trading Update
Unusual Price/Turnover Movements — Qualified
Unusual Price/Turnover Movements — Standard or Super

Schedule 2
Headline Categories for Circulars

Connected Transaction

Connected Transaction
Continuing Connected Transaction

Corporate Positions and Committees/Corporate Changes

Amendment of Constitutional Documents

Meetings/Voting

Change of Voting Intention
Material Information after Issue of Circular
Nomination of Director by Shareholder
Re-election or Appointment of Director subject to Shareholders' Approval
Change in Auditors subject to Shareholders' Approval

Notifiable Transactions

Major Transaction
Reverse Takeover
Very Substantial Acquisition
Very Substantial Disposal

Reorganisation/Change in Shareholding/Major Changes/Public Float/Listing Status

Document issued by Offeree Company under the Takeovers Code
Document issued by Offeror Company under the Takeovers Code
Fundamental Change in Principal Business Activities
Privatisation/Withdrawal of Listing of Securities
Proposal of Mineral Company to Explore for Natural Resources as Extension to or Change from
Existing Activities
Spin-off

Securities/Share Capital

Capitalisation Issue
Change in Terms of Securities or Rights attaching to Securities
Document issued pursuant to Code on Share Buy-backs
Exchange or Substitution of Securities
Explanatory Statement for Repurchase of Shares
General Mandate
Issue of Convertible Securities
Issue of Debt Securities
Issue of Preference Shares
Issue of Securities by Major Subsidiary
Issue of Securities within 6 Months of Listing
Issue of Shares
Issue of Warrants
Open Offer
Rights Issue
Share Option Scheme

Miscellaneous

Matters relating to Collective Investment Schemes
Other

Schedule 3
Headline Categories for Listing Documents

Authorised Collective Investment Scheme
Capitalisation Issue
Deemed New Listing under the Listing Rules
Exchange or Substitution of Securities
Introduction
Offer for Sale
Offer for Subscription
Open Offer
Other
Placing of Securities of a Class New to Listing
Rights Issue
Supplementary Listing Document

Schedule 4
Headline Categories for Financial Statements/ESG Information

Annual Report
Interim/Half-Year Report
Quarterly Report
Environmental, Social and Governance Information/Report

Schedule 4A
Headline Categories for Next Day Disclosure Returns

Share Buyback
Others

Schedule 5
Headline Categories for Debt and Structured Products

Callable Bull / Bear Contracts (CBBC)

Additional information — Exotic CBBC
Adjustment to Terms and Conditions — CBBC
Base Listing Document — CBBC
Daily Trading Report — CBBC
Expiry Announcement — CBBC
Inside Information — CBBC
Launch Announcement — CBBC
Liquidity Provision Service — CBBC
Market Disruption Event — CBBC
Other — CBBC
Pre-Listing Trading Report — CBBC
Resumption — CBBC
Supplemental Listing Document — CBBC
Suspension — CBBC
Trading Halt — CBBC
Withdrawal of Listing — CBBC

Derivative Warrants (DW)

Additional Information — Exotic DW
Adjustment to Terms and Conditions — DW
Base Listing Document — DW
Daily Trading Report — DW
Expiry Announcement — DW
Inside Information — DW
Launch Announcement — DW
Liquidity Provision Service — DW
Market Disruption Event — DW
Other — DW
Pre-Listing Trading Report — DW
Resumption — DW
Supplemental Listing Document — DW
Suspension — DW
Trading Halt — DW
Withdrawal of Listing — DW

Equity Linked Instruments (ELI)

Additional Information — Exotic ELI
Adjustment to Terms and Conditions — ELI
Base Listing Document — ELI
Daily Trading Report — ELI
Expiry Announcement — ELI
Inside Information — ELI
Launch Announcement — ELI
Liquidity Provision Service — ELI
Market Disruption Event — ELI
Other — ELI
Pre-Listing Trading Report — ELI
Resumption — ELI
Supplemental Listing Document – ELI
Suspension — ELI
Trading Halt — ELI
Withdrawal of Listing — ELI

Information regarding Structured Products Issuers

Corporate Information — Structured Products Issuer
Credit Rating — Structured Products Issuer
Financial Disclosure or Report — Structured Products Issuer
Inside Information — Structured Products Issuer
Other — Structured Products Issuer

Debt Securities

Adjustment to Terms and Conditions — Debt Securities
Financial Report — Debt Securities
Formal Notice — Debt Securities
Inside Information — Debt Securities
Issuer-Specific Report — Debt Securities
Offering Circular and Pricing Supplement – Debt Securities
Other Debt Securities
Overseas Regulatory Announcement — Debt Securities
Prospectus — Debt Securities
Redemption or Repurchase — Debt Securities
Resumption — Debt Securities
Suspension — Debt Securities
Trading Halt — Debt Securities
Withdrawal of Listing — Debt Securities

Schedule 6

Headline Categories for Application Proofs and Post Hearing Information Packs or PHIPs

Application Proofs or related materials
Post Hearing Information Packs or PHIPs or related materials