Listing Rules and Guidance: Contents
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HKEX GUIDANCE LETTER
HKEX-GL16-09 (October 2009) (updated in July 2010 and June 2016)
|Subject||Pre-vetting of documents and announcements in IPO cases and post-vetting announcements relating to price stabilization actions|
|Listing Rules||See paragraph 2.1 below|
Listing Decision HKEX-LD34-2 (withdrawn in Sep 2009);
Guide on Practices and Procedures for Post-vetting Announcement of Listed Issuers and Handling Matters Involving Trading Arrangements Prior to Publication of Announcements
|Author||IPO Transactions Team|
Important note: This letter does not override the Listing Rules and is not a substitute for advice from qualified professional advisers. If there is any conflict or inconsistency between this letter and the Listing Rules, the Listing Rules prevail. You can consult the Listing Department on a confidential basis for interpretation of the Listing Rules, or this letter.
This letter clarifies what materials require pre-vetting in a new listing application.
|Documents/Announcements Requiring Pre-vetting||Main Board Rules||GEM Rules|
|Publicity material released relating to an issue of securities||9.08||12.10|
|Listing documents||9.07, 12.01, 20.12, Appendix 7G-para 6||12.15, 16.01|
|Supplementary listing documents in relation to significant change or new matter after the issue of listing document and before commencement of dealings in securities. Clarification announcements issued after the listing documents / prospectus are also included||11.13||14.24|
|Prospectuses||11A.04, 11A.10||15.04, 15.10|
|Extracts from or abridged version of a prospectus||11A.04, 11A.10||15.04, 15.10|
|Formal notice—offer for subscription, offer for sale and introduction (updated in July 2010)||12.02, 12.03, 12.05||16.07, 16.08, 16.10|
|Allotment results and basis of allotment||12.08||16.13, 17.31|
|Announcement of striking price—offer for subscription, offer for sale, and offer for sale by tender||12.09||16.14|