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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.

2003
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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Please visit Archive to view listing decisions which have been superseded or are no longer applicable.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
LD37-3 10/2003
(01/2005)
Rules 6.04, 6.10, 13.24, Practice Note 17 Submission of resumption proposal immediately prior to expiry of 3rd stage of delisting procedures and viability of resumption proposal
LD37-2 10/2003
(09/2009)
Rules 11.17, 11.18, 11.19 Whether non-inclusion of profit forecast IPO prospectus acceptable
LD37-1 10/2003
(09/2009)
Rules 8.08(2), 21.04
Chapter 21 listing applicant — minimum spread of shareholders on listing

(Withdrawn in August 2015; Superseded by GL17-10)
LD36-3 10/2003 General Principles For IPO Whether an offer size adjustment option is allowed for purposes other than stabilization
LD36-2 10/2003
(09/2009)
GEM Rules 1.01, 13.16A
Rules 1.01,
Pre-IPO placing-whether shares subject to lock-up and counted as part of public float (GEM Board)

(Withdrawn on 25/10/2012; Superseded by GL43-12)
LD36-1 10/2003 8.24, 10.07(1) Pre-IPO placing-whether shares subject to lock-up and counted as part of public float (Main Board)

(Withdrawn on 25/10/2012; Superseded by GL43-12)
LD35-3 07/2003 General Principles On Sponsors
Eligibility of Company A to act as sole sponsor

(Withdrawn in September 2009)
LD35-2 07/2003 Rule 11.17, Paragraph 34 (2) of Appendix 1A IPO prospectus — disclaimer by reporting accountants in relation to profit forecast
LD35-1 07/2003
(04/2014)
Rules 3.28 and 8.17
Rule 8.05,
PRC issuer — company secretary not possessing relevant professional qualifications

(Updated in April 2013 and April 2014)
LD34-3 04/2003 Practice Note 3 No absolute control by Company A over its joint ventures — whether profits from joint ventures could be attributed to Company A to meet three-year trading record requirement

(Withdrawn in December 2013; Superseded by LD106-1)
LD34-2 04/2003 General Principles For IPO Whether exercise of over-allotment option would necessitate suspension

(Withdrawn in September 2009)
LD34-1 04/2003 Rule 9.03(3) No figure for third financial year of track record period

(Withdrawn in September 2009)
LD33-3 02/2003 Rules 6.01(2), 8.08(1) Announcement regarding general offer — appropriate warning statement to be included

(Withdrawn in September 2009)
LD33-2 02/2003 Rule 14.25(1) Whether standard 3-year waiver for on-going connected transaction would cover current financial year

(Withdrawn in September 2009)
LD33-1 02/2003
(09/2010)
Rule 9.11(35) (b),
Paragraph 11 of Appendix 6
IPO-shares being placed to investment funds — extent of information to bedisclosed