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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.

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Guidance Letters for Listed Issuers
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Date (dd/mm/yyyy) Reference No. Listing Rules/Topics Particulars Document Type Content Category
29/04/2016 GL88-16 Main Board Rules 2.03, 2.06, 8.20 and 13.64
GEM Rules 2.06, 2.09, 11.30(2), and 17.76
Guidance on bonus issues of shares Guidance Letter Listed Issuers
08/04/2016 GL87-16 Main Board Rules 6.01, 6.05, 13.09, 13.10 and 13.10A
GEM Rules 9.01, 9.09, 17.10, 17.11 and 17.11A
Guidance for issuers subject to market commentaries or rumours Guidance Letter Listed Issuers
21/12/2015 GL84-15 Main Board Rules 14.82, 14.83 and 14.84
GEM Rules 19.82, 19.83 and 19.84
Guidance on Cash Company Rules Guidance Letter Listed Issuers
11/12/2015 GL83-15 Main Board Rules 6.05, 13.09, 13.10, 13.10A and 13.10B
GEM Rules 9.09, 17.10, 17.11, 17.11A and 17.12
Guidance on trading halts Guidance Letter Listed Issuers
29/05/2015 GL80-15 Main Board Rules 2.03(6), 8.08, 13.27, 13.28, 13.36, 13.32(1), 16.03 and 28.05
GEM Rules 2.06(6), 11.23(7), 17.30, 17.32, 17.39, 17.40, 17.41, 22.03 and 34.05
Guidance on the issue of convertible securities by listed issuers Guidance Letter Listed Issuers
07/11/2014 GL79-14 Chapter 20 of Main Board Rules Guidance on Documentary Requirements and Administrative Matters for Collective Investment Schemes ("CIS") Applications

(Updated in November 2014, July and November 2015 and June 2016)
Guidance Letter Listed Issuers
30/05/2014 GL78-14 Main Board Rules 14.06(6), 14.54, 14.55, 14.57, 14.92 and 14.93
GEM Rules 19.06(6), 19.54, 19.55, 19.57, 19.91 and 19.92
Guidance on application of reverse takeovers requirements under Rule 14.06(6) (GEM Rule 19.06(6)) Guidance Letter Listed Issuers
23/05/2014 GL77-14 Main Board Rules 2.03(3) and 2.03(5)
GEM Rules 2.06(3) and 2.06(5)
Guidance on listed issuers using contractual arrangements for their businesses

(Updated in July 2014 and August 2015)
Guidance Letter Listed Issuers
02/05/2014 GL76-14 Main Board Rules 13.39(6)&(7), 13.80 to 13.84 and 14A.45
GEM Rules 17.47(6)&(7), 17.92 to 17.96 and 20.43
Guidance on opinion letters prepared by independent financial advisers under the Listing Rules

(Updated in July 2014)
Guidance Letter Listed Issuers
21/03/2014 GL73-14 Main Board Rules 14A.51 to 14A.59, 14A.71 to 14A.72
GEM Rules 20.49 to 20.57, 20.69 to 20.70
Guidance on pricing policies for continuing connected transactions and their disclosure

(Updated in July 2014)
Guidance Letter New Applicants / Listed Issuers
24/01/2014 GL71-14 Main Board Rules 2.13(2) and 11.07
GEM Rules 14.08(7) and 17.56(2)
Gambling Activities Undertaken by Listing Applicants and/or Listed Issuers Guidance Letter New Applicants / Listed Issuers
24/01/2014 GL70-14 Main Board Rules Chapter 14A
GEM Rules Chapter 20
Guide on Connected Transaction Rules

(Withdrawn in July 2014)
Guidance Letter New Applicants / Listed Issuers
13/12/2013 GL69-13 Main Board Rules 14.06(6) and 14.54, Chapter 8, Practice Note 15
GEM Rules 19.06(6) and 19.54, Chapter 11, Practice Note 3
Guidance to issuers contemplating (i) a spin-off and separate listing of businesses or assets on the Exchange; or (ii) a reverse takeover where the issuer is deemed a new listing applicant Guidance Letter Listed Issuers
18/09/2013 GL67-13 Main Board Rules 3A.19 to 3A.31
GEM Rules 6A.19 to 6A. 38
Guidance on the compliance adviser requirement for newly listed issuers Guidance Letter Listed Issuers
06/09/2013 GL66-13 Main Board Rules 6.01, 6.04, 6.10, 13.24 and Practice Note 17
GEM Rules 9.01, 9.14, 9.15, 9.16 and 17.26
Guidance for long suspended companies Guidance Letter Listed Issuers
11/01/2013 GL47-13 Main Board Rules 18.14 to 18.18
GEM Rules 18A.14 and 18A.18
Guidance on Continuing Obligations under Chapter 18 Guidance Letter Listed Issuers