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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.

2014
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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Please visit Archive to view marked-up versions and versions that have been superseded or withdrawn.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
LD84-2014 02/2014
(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
LD83-2014 01/2014 Main Board Rules 8.08(2) and 8.08(3) For Company A's proposed rights issue of shares with bonus warrants, whether the Exchange would waive the requirements on the minimum number and spread of warrantholders at the time of listing of the warrants
LD82-2014 01/2014
(04/2015)
Main Board Rules 8.08, 10.06(3) and 13.32
(i) Whether to allow Company A to proceed with a share repurchase offer which might result in a lack of open market in its shares
(ii) Whether to give consent to Company A for issuing new shares within 30 days after completion of the offer under Rule 10.06(3) to meet the public float requirement
LD81-2014 01/2014 Main Board Rules 9.20(1) and Paragraph 30 of Appendix 1B Whether the Exchange would waive the requirements relating to the inclusion of a statement of sufficient working capital in Company A's listing document for a rights issue
LD80-2014 01/2014 Main Board Rules 14.15(2) and 14.22 Whether Company A's proposed guarantee for a bank loan to be granted to the Joint Venture should be aggregated with its initial capital contribution to the Joint Venture
LD79-2014 01/2014
(07/2014)
Main Board Rules 14A.25, 14A.36, 14A.76 Whether the amendments to the non-competition undertaking given by the Holding Company to Company A would require independent shareholders' approval
LD78-2014 01/2014
(07/2014)
Main Board Rules 14A.19, 14A.26, 14A.27 Whether the guarantee provided by Company A for a loan facility granted to the Borrower was subject to the connected transaction requirements
LD77-2014 01/2014 Main Board Rules 2.13(2) and 11.07 Whether Company A's level of internal controls on its hedging activities was appropriate for a listed company