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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.

2008
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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Please visit Archive to view listing decisions which have been superseded or are no longer applicable.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.

Since August 2007, we have adopted a thematic approach in preparing decision series for IPO cases. Grouping decisions on cases which discuss similar topics into a common series should help readers better understand the application of the Rules. To maintain the guidance value of the decisions, we will not report on every case. Instead, only decisions that discuss novel issues or are of general guidance value will be published.

LD Series Number First Release Date (Last Update Date)(mm/yyyy) Listing Rules/ Topics Particulars
LD64-4 11/2008
(07/2014)
Rules 14A.81, 14A.82, 14A.83 Whether Company A would be required to aggregate the proposed Transactions under Main Board Listing Rule 14A.81
LD64-3 11/2008
(07/2014)
Rules 14A.81, 14A.82, 14A.83 Whether Company A would be required to aggregate the Transactions and treat them as if they were one transaction under Main Board Listing Rule 14A.81
LD64-2 11/2008 Rules 14.22, 14.23 Whether Company X would be required to aggregate the First and Second Acquisitions and treat them as if they were one Transaction under Main Board Listing Rule 14.22
LD64-1 11/2008 Rules 14.22, 14.23 Whether Company A would be required to aggregate the Acquisitions and to treat them as if they were one transaction under Main Board Listing Rule 14.22
LD63-5 11/2008
(07/2014)
Rules 14A.19, 14A.20 Whether the Exchange would exercise its power to deem the REIT as a connected person of Company A in respect of the Company Transactions
LD63-4 11/2008
(07/2010)
Rules 14A.06, 14A.11 Whether the Exchange would exercise its power to deem Company B as a connected person of Company A in respect of the Transaction under Main Board Listing Rule 14A.06

(Withdrawn in July 2014)
LD63-3 11/2008
(07/2014)
Rules 14A.19, 14A.20 Whether the Purchaser would be regarded as a connected person of Company A in respect of Transaction A
LD63-2 11/2008
(07/2014)
Rules 1.01, 2.04, 14A.07 Whether Parent Shareholders were connected persons of Company A under the Listing Rules by virtue of their substantial interests in Parent Company, and if not, whether the Exchange would deem the Parent Shareholders to be connected persons of Company A
LD63-1 11/2008
(07/2014)
Rules 1.01, 2.04, 14A.07 Whether the Exchange would deem the Purchaser as a connected person of Company A upon completion of the Transaction under Main Board Listing Rule 2.04
LD62-4 11/2008
(07/2014)
Rule 14.20, 14A.80 Whether the Exchange would disregard the calculation of revenue ratio in respect of the proposed Transaction as requested by Company A and accept the alternative size tests submitted by Company A under Main Board Listing Rule 14.20 and 14A.80
LD62-3 11/2008
(07/2014)
Rule 14.20, 14A.80 Whether the Exchange would disregard the calculation of percentage ratios in respect of the Disposal and the Provision of Services and accept the alternative size tests submitted by Company A under Main Board Listing Rule 14.20 and 14A.80
LD62-2 11/2008 Rule 14.20 Whether the Exchange would disregard the calculation of percentage ratios in respect of the Transaction upon Company A's request and accept the alternative size tests submitted by Company A under Main Board Listing Rule 14.20
LD62-1 11/2008 Rule 14.20 Whether the Exchange would disregard the calculation of consideration ratio in respect of the Capital Contribution as requested by the Parent and accept the alternative size test submitted by the Parent under Main Board Listing Rule 14.20
LD61-1 07/2008
(04/2014)
Rules 2.03(2), 9.07, 11.13, Paragraph 2 of Practice Note 6, Paragraph 15 (2)(c) of Appendix 1A Whether and under what conditions Company A would be allowed to revise the indicative offer price downwards after issue of the prospectus but before close of the offer

(Updated in April 2014)
LD60-2 05/2008 Paragraphs 4.1 and 4.2 of Practice Note 18 Under what circumstances the Exchange would consider modifying the minimum public subscription requirement under Practice Note 18 of the Listing Rules ("PN 18 Waiver") in an IPO
LD60-1 05/2008 Paragraphs 4.1 and 4.2 of Practice Note 18 Under what circumstances the Exchange would consider modifying the minimum public subscription requirement under Practice Note 18 of the Listing Rules ("PN 18 Waiver") in an IPO