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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.

2005
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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Please visit Archive to view marked-up versions and versions that have been superseded or withdrawn.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
03/2005 RL9-05 A Main Board listing applicant failing to satisfy the profit requirement of Rule 8.05 Rule 8.05 Rejection Letter New Applicants
03/2005 RL8-05 A GEM listing application failing to satisfy that it had a business of substance and potential for the purposes of GEM Rule 11.12, and that the listing applicant and its business were suitable for listing under GEM Rule 11.06 GEM Rules 11.06, 11.12 Rejection Letter New Applicants
03/2005 RL6-05 A Main Board listing applicant failing to (a) satisfy the minimum requirement of 300 shareholders as at the date of listing as required under Rule 8.08(2); and (b) meet the expected market capitalization at the time of listing of at least HK$200 million as required under Rule 8.09(2) Rules 8.08 (2), 8.09 (2) Rejection Letter New Applicants
03/2005 RL5-05 A Main Board listing applicant failing to satisfy the "ownership continuity and control" requirement of Rule 8.05(1)(c)

(Withdrawn in October 2017)
Rule 8.05 (1)(c) Rejection Letter New Applicants
03/2005 RL4-05 A GEM listing application raising concerns on consistency and reliability of information submitted to the Listing Division GEM Rule 11.01 Rejection Letter New Applicants