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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.

2008
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This section contains extracts of Listing Division's letters to issuers, interpreting the Listing Rules on specific listing matters.

Rejection Letter (RL) – This series comprises a selection of letters explaining the Division's rejection of specific listing applications.

No Further Disciplinary Action (Guidance) Letter (LEGL) - This series comprises a selection of letters issued following investigation of suspected breaches of the Rules and where the Division decided not to pursue disciplinary action. The letters communicate the Division's interpretation or expectations as to the conduct of an issuer and its directors and are now published for general guidance and to promote transparency about the disposal of potential disciplinary matters.

Please visit Archive to view marked-up versions and versions that have been superseded or withdrawn.

Date (mm/yyyy) Reference Number Particulars Listing Rules Document Type Content Category
12/2008 LEGL07-08 Guidance on replying to unusual trading movement enquiries from the Stock Exchange of Hong Kong and ensuring accuracy in the subsequent announcements when there are ongoing business negotiations relating to intended acquisitions or realisations GEM Rules 17.11, 17.56(2) No Further
Disciplinary
Action
(Guidance)
Letter
Listed Issuers
12/2008 LEGL05-08 Guidance on ensuring and achieving accuracy and completeness in disclosure Rule 2.13 (2) No Further
Disciplinary
Action
(Guidance)
Letter
Listed Issuers
11/2008 RL24-08 LETTER 1 - The GEM Listing Approval Group of the Listing Division rejected the listing application of the Company for the reason that the Company was not able to comply with the minimum operating cash flow requirement under GEM Listing Rule 11.12A(1) after excluding an adjustment for a non-cash item in relation to the settlement of certain employment-related expenses directly by the immediate holding company of the Company. LETTER 2 - The GEM Listing Committee upheld the Listing Division's rejection decision. GEM Rule 11.12A(1) Rejection Letter New Applicants
11/2008 LEGL04-08 Guidance on compliance with the announcement requirement in the event of delay in the completion of an intended notifiable transaction Rule 14.36 No Further Disciplinary Action (Guidance) Letter Listed Issuers
11/2008 LEGL03-08 Guidance on who constitutes a connected person of an issuer

Guidance on what procedures an issuer should adopt to ensure compliance with the connected transactions provisions in the Listing Rules

(Updated in July 2014)
Rules 2.13,
14A.35,
14A.36,
14A.46
and
14A.48
No Further
Disciplinary
Action
(Guidance)
Letter
Listed Issuers
11/2008 LEGL01-08 Guidance on arrangements to maintain effective accounting procedures and controls following the implementation of revised accounting standards Rule 2.13 (2) No Further
Disciplinary
Action
(Guidance)
Letter
Listed Issuers