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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.

2002
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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Please visit Archive to view listing decisions which have been superseded or are no longer applicable.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
LD32-3 11/2002 Rule 2.07B Single language corporate communications — on-going arrangement — whether announcement needed to be re-published
LD32-2 11/2002 (09/2009) Rule 2.13, General Principles For Preparation of Announcements Directors' names
LD32-1 11/2002 (09/2009) Rule 2.13, General Principles For Preparation of Announcements Names of Chinese entities
LD31-3 07/2002 Appendix 10 — Rule A3 Top-up placing during "blackout" period — whether dealing in shares by director

(Withdrawn in September 2009)
LD31-2 07/2002 (03/2011) Rule 4.04 Maximum allowance time gap between latest financial year-end and proposed listing date

(Withdrawn in March 2011; Superseded by GL25-11)
LD31-1 07/2002 Rules 6.01 (2), 8.08(1), 14.35 Insufficient public float

(Withdrawn in September 2009)
LD30-3 05/2002 Rules 6.01 (2), 8.08(1) Whether trading should be suspended if public float is not more than 10%

(Withdrawn in September 2009)
LD30-2 05/2002 Rules 14.25, 14.26 No legally binding agreement entered into for on-going connected transactions prior to change to Takeovers Code — whether waiver should be granted

(Withdrawn in September 2009)
LD30-1 05/2002 (09/2009) General Principles On Independent Financial Adviser Eligibility to act as independent financial adviser