Logo-HKEx
  Website Search
   Search
Advanced Search
       
Stock Quote Search
 Search
Stock Code Company Name
ENG  |  繁體  |  簡体  |  Mobile
Contact | FAQ | Site Map
 |  |  |  | 
  

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.

2011
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Please visit Archive to view listing decisions which have been superseded or are no longer applicable.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
LD23-2011 12/2011
(04/2015)
Rules 8.08, 13.32 Whether the Exchange would allow Company A to resume trading when it had restored the public float to 15 per cent
LD22-2011 12/2011
(07/2014)
Rules 1.01, 8.24, 14A.07 Whether the Manager was a core connected person or connected person of Company A because it held shares in Company A for its clients
LD21-2011 11/2011 Rule 14.20 Whether the Exchange would accept Company A's proposed alternative size tests to classify its disposal of interest in the Target as a discloseable transaction instead of a very substantial disposal
LD20-2011 11/2011 Rule 14.20 Whether the Exchange would disregard the consideration ratio for Company A's disposal of interest in the Target under the offer and classify it as a major transaction instead of a very substantial disposal
LD19-2011 09/2011
(10/2013)
Rules 3.08, 3.09 and 8.04 How Company A's material non-compliant financing would affect its listing
LD18-2011 07/2011 Rule 17.03(3) — Note (1) For the proposed share option scheme of Subsidiary B to be effective after listing, whether the Exchange would grant a waiver to allow the "10 per cent limit" be calculated based on Subsidiary B's total number of shares in issue at the time of its new listing instead of the date of Company A's general meeting to approve the scheme
LD17-2011 07/2011 Practice Note 15 Whether the proposed listing of Company B on the Main Board would be a "spin-off" by Company A
LD16-2011 07/2011
(07/2014)
Rules 14A.36, 14A.39, 14A.46 14A.92(1) Whether the Exchange would waive certain connected transaction requirements for the possible issue of new A shares by Company X to its connected persons under a proposed public offer in the Mainland
LD15-2011 07/2011 Rule 2.03(2) and (4) Whether the Interim Guidance on Pre-IPO Investments applied to an issue of shares upon exercise of warrants which formed an integral part of a loan agreement between the warrant holder and Company A
LD14-2011 06/2011
(07/2014)
Rule 14A.81, 14A.82, 14A.83 Whether the Exchange required aggregation of the agreements between Company A and the Parent Company for
(i) the Parent Group contracting out certain system works to Company A;and
(ii) Company A sub-contracting some of the works back to the Parent Group
LD13-2011 06/2011
(07/2014)
Rule 14A.81, 14A.82 14A.83 Whether the Exchange required aggregation of Company A's construction contracts with each of Companies C and D
LD12-2011 06/2011 Rule 2.03 Whether the Interim Guidance on Pre-IPO Investments applied to Company A's proposed issue of securities to independent investors
LD11-2011 05/2011
(02/2012)
Rules 19.05 and 19.30 and GEM Rule 24.05 Whether the Exchange would consider Alberta an acceptable jurisdiction of an issuer's incorporation (Revised Listing Decision)

(Withdrawn, superseded by Canada — Alberta Country Guide in December 2013)
LD10-2011 05/2011 Rule 19.05 Whether the Exchange would consider Guernsey an acceptable jurisdiction under Chapter 19 of the Main Board Listing Rules and Chapter 24 of the GEM Listing Rules

(Withdrawn, superseded by Guernsey Country Guide in December 2013)
LD9-2011 04/2011 Rule 17.03(9) — Note 1 Whether the Exchange would waive the requirement on the exercise price of share options for Company A's share option scheme involving issue of new A shares
LD8-2011 04/2011
(04/2015)
Rule 8.08(1)(a) Whether Company A must include convertible preference shares as part of its total issued share capital in calculating the public float of its listed shares
LD7-2011 03/2011 Rules 14.06(6), 14.92, 14.93 Whether the Exchange would grant a waiver from Rule 14.92 for the disposal of the Disposal Target
LD6-2011 03/2011 Rule 14.40 Whether the Exchange would accept a prior mandate in lieu of a shareholders' approval on the terms of the agreement for the following transactions:
(1) Company A's proposed acquisition of a piece of land through public tender
(2) Company B's proposed disposal of a property
LD5-2011 03/2011 Rules 14.04(1), 14.22 and 14.23 Whether Subsidiary B's on-market repurchase of its shares constituted a transaction for Company A, and if so whether it would be aggregated with Company A's previous acquisition of Subsidiary B's shares
LD4-2011 03/2011 Rule 19.05 Whether the Exchange would consider France an acceptable jurisdiction under Chapter 19 of the Main Board Listing Rules and Chapter 24 of the GEM Listing Rules

(Withdrawn, superseded by France Country Guide in December 2013)
LD3-2011 03/2011 Rules 4.11, 19.39 Whether to accept Japanese Generally Accepted Accounting Principles (JGAAP) for preparing the accountants' report for Company A's listing document and subsequent financial reports
LD2-2011 02/2011 Rules 14.72(1), 14.76(1) Whether the Partner's contractual right to acquire Company A's interest in the Joint Venture was an "option" under Chapter 14 and, if so, whether it would be classified as a major transaction
LD1-2011 01/2011 Rule 19.05 Whether the Exchange would consider Italy an acceptable jurisdiction under Chapter 19 of the Main Board Listing Rules and Chapter 24 of the GEM Listing Rules

(Withdrawn, superseded by Italy Country Guide in December 2013)