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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.

2015
View whole section

Select By Rule or Topic: Download the consolidated index here

Please visit Archive to view marked-up versions and versions that have been superseded or withdrawn.

This section comprises decisions on cases handled by the Listing Committee and/or the Listing Division, to enhance transparency and market understanding of their interpretation of the Listing Rules. Each decision was based on its specific circumstances and is not a precedent for future cases.

Effective from 1 January 2011, listing decisions will be published under a new naming format as illustrated below:

Before 1 January 2011 On or After 1 January 2011
 
HKEx-LD100-1
HKEx-LD100-2
HKEx-LD101-1
 
HKEx-LD1-2011
HKEx-LD2-2011
HKEx-LD3-2011

Listing decisions published before 1 January 2011 continue to bear the old references.

LD Series Number First
Release
Date (Last
Update
Date)
(mm/yyyy)
Listing Rules/ Topics Particulars
LD92-2015 06/2015 Main Board Rules 2.06 and Chapter 8
GEM Rules 2.09 and Chapter 11
To provide guidance on why the Exchange rejected certain listing applications
LD91-2015 06/2015
(05/2016)
Main Board Rule 9.03(3) and GEM Rules 12.09 and 12.14 To provide guidance on why the Exchange returned certain listing applications
LD90-2015 05/2015 Main Board Rules 13.36 and 15.02 Whether Company A was allowed to use the general mandate for placing of warrants to third party investors
LD89-2015 05/2015 Main Board Rules 15.01 and 17.01 Whether Company A's proposed issue of warrants to certain members of senior management was subject to the requirements of Chapter 17
LD88-2015 05/2015 Main Board Rule 13.24 Whether Company A would have sufficient operations or assets under Rule 13.24 after a very substantial disposal
LD87-2015 05/2015 Main Board Rules 6.05 to 6.07 and Paragraph 4 of Practice Note 11 Whether the Exchange would direct the resumption of trading in Company A's shares under Rule 6.07
LD86-2015 04/2015 GEM Rule 11.12A(1) Whether Company A's cash flow generated during a period of non-compliance should be counted towards the calculation of minimum cash flow under GEM Rule 11.12A(1)
LD85-2015 01/2015
(11/2016)
Main Board Rule 10.07(1) Whether Company B, which will cease to be a controlling shareholder of Company A shortly after listing, should be subject to a 12-month lock-up of its shares after Company A's listing under Listing Rule 10.07(1)