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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.

2012
View whole section

Select By Rule or Topic: Download the consolidated index here

Please visit Archive to view listing decisions which have been superseded or are no longer applicable.

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
LD38-2012 10/2012 Main Board Rules 13.48(1), 13.49(6); Paragraph 3 of Practice Note 10 of the Rules Whether to grant a waiver from strict compliance with the requirement to issue an interim report under Rule 13.48(1)
LD37-2012 09/2012 GEM Rules 2.06, 2.07, 2.09 and 11.06 Whether Company A's deteriorating financial performance and uncertain business prospects would render it unsuitable for listing
LD36-2012 08/2012 Rules 19.05 and 19.30 and GEM Rule 24.05 Whether the Exchange would consider South Korea an acceptable jurisdiction under Chapter 19 of the Main Board Rules and Chapter 24 of the GEM Rules

(Withdrawn, superseded by South Korea Country Guide in December 2013)
LD35-2012 07/2012 Rule 13.24 Whether Company A would have sufficient operations or assets under Rule 13.24 after the Proposed Transactions
LD34-2012 07/2012 Main Board Rules 3.08, 3.09 and 8.15 Whether Mr. A's and Mr. B's conduct at the Predecessor affected their suitability under Listing Rules 3.08 and 3.09 and Company's A ability to comply with Listing Rule 8.15
LD33-2012 07/2012
(09/2013)
GEM Rules 14.08(7) and 17.56(2) (Equivalent to Main Board Rules 11.07 and 2.13(2)) Disclosure requirements for two applicants engaged in the pawn loan business in the People's Republic of China ("PRC")
LD32-2012 06/2012 Main Board Rules 18.03 and 18.05 Whether Company A must prepare a competent person's report ("CPR") for mining interests it intended to acquire or develop
LD31-2012 05/2012 Listing Rules 2.13(2)(a), 8.04, 8.05(1) and 18.04 Whether disclosures relating to the allegations in the complaint against certain person(s) whose surname(s) was/ were identical to those of Company A's previous management members were adequate and whether a waiver from Rule 18.04 should be granted to Company A in view of the lack of a clear path to commercial production
LD30-2012 04/2012 Main Board Rule 8.04; Paragraph 27A of Appendix 1A of the Rules Whether Company A's financial and operational reliance on Parent Company rendered Company A not suitable for listing
LD29-2012 03/2012 Rule 14.06(6)(b) Whether Company A's proposed acquisition of the Target from Company B was a reverse takeover
LD28-2012 03/2012 Rule 14.67(6)(a)(i) Whether the Exchange would grant a waiver to Company A from the requirements for an accountants' report on the Target in the circular
LD27-2012 03/2012
(04/2014)
Rules 19.05 and 19.30 and GEM Rule 24.05 The basis for accepting Company X's incorporation in the State of Maryland, USA under Chapter 19 of the Main Board Rules
(Updated in April 2014)
LD26-2012 02/2012
(04/2015)
Rule 7.19(6) Whether Company A could seek a prior mandate from its shareholders for conducting a rights issue under Rule 7.19(6)
LD25-2012 02/2012
(07/2014)
Rules 13.36 and 19A.38 Whether Company A's proposal to issue rights shares under a general mandate would comply with the Listing Rules
LD24-2012 02/2012 Rules 19.05 and 19.30 and GEM Rule 24.05 Whether the Exchange would consider the State of Delaware an acceptable jurisdiction under Chapter 19 of the Main Board Listing Rules and Chapter 24 of the GEM Listing Rules

(Withdrawn, superseded by United States of America — Delaware Country Guide in December 2013)