Listing Rules and Guidance: Contents


 
 

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2017
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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
LD117-2017 11/2017 Main Board Rule 8.04 and Paragraph 3(c) of Practice Note 15 Whether Company A (excluding its interest in Newco) could meet the new listing requirements of Chapter 8 of the Main Board Rules
LD116-2017 11/2017
(08/2018)
Main Board Rules 6.01(3), 6.10 and 13.24 Whether Company A had a sufficient level of operations or sufficient assets to meet Main Board Rule 13.24
LD115-2017 11/2017
(08/2018)
Main Board Rules 6.01(3), 6.10 and 13.24 Whether Company A had a sufficient level of operations or sufficient assets to meet Main Board Rule 13.24
LD114-2017 10/2017
(08/2018)
Main Board Rules 2.03, 2.06, 6.01, 6.04 and 6.10 Whether Company A was no longer suitable for listing
LD113-2017 10/2017 Main Board Rules 2.04, 14.06(6) and 14.54 Whether the Exchange would impose additional requirements under Rule 2.04 on Company A's proposed disposal of its original business
LD112-2017 10/2017 Main Board Rule 13.24 Whether Company A would have sufficient operations or assets under Rule 13.24 after a proposed major disposal
LD111-2017 10/2017 Main Board Rules 14A.19 and 14A.20 Whether the Exchange would exercise its power to deem Company B as a connected person of Company A under Main Board Listing Rule 14A.19
LD110-2017 06/2017
(08/2018)
Main Board Rules 6.01(2), 6.04, 6.10, 8.08, 13.32 Whether the Exchange would commence the procedures to cancel the listing of Company A whose shares had been suspended for a prolonged period due to insufficient public float
LD109-2017 06/2017 Main Board Rule 14.06(6) Whether Company A would be required to aggregate the proposed acquisition with a previous acquisition, and whether these acquisitions would constitute a reverse takeover
LD108-2017 06/2017 Main Board Rule 14.06(6) Whether Company A's proposed acquisition of the Target constituted a reverse takeover or an extreme VSA
LD107-2017 05/2017 Main Board Rule 2.06 and Chapter 8
GEM Rule 2.09 and Chapter 11
To provide guidance on why the Exchange rejected certain listing applications
LD106-2017 05/2017 Main Board Rule 9.03(3)
GEM Rules 12.09 and 12.14
To provide guidance on why the Exchange returned certain listing applications
LD105-2017 04/2017 GEM Rules 9.04 and 17.26 Whether Company A has a sufficient level of operations or assets to meet GEM Rule 17.26
LD104-2017 01/2017 Main Board Rule 2.04 and Paragraph 3(f) of Practice Note 15

GEM Rule 2.07 and Paragraph 3(f) of Practice Note 3
Whether the Exchange would waive the assured entitlement requirement for Company A's spin-off proposal