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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.

2017
View whole section

Select By Rule or Topic: Download the consolidated index here

Please visit Archive to view marked-up versions and versions that have been superseded or withdrawn.

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
LD110-2017 06/2017 Main Board Rules 6.01(2), 6.04, 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