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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By Series

FAQ Number/
Series Number
First Release Date
(Last Update Date)
(dd/mm/yyyy)
Particulars
005-2017
006-2017
007-2017
20/10/2017 Questions relating to the Financial Institutions (Resolution) Ordinance (“FIRO”) and its impact
001-2017
002-2017
003-2017
004-2017
06/01/2017 Questions relating to the audit terminology used in the Rules with reference to the HKICPA new and revised Auditor Reporting Standards effective on 15 December 2016
001-2016
002-2016
003-2016
02/02/2016
(13/05/2016)
Questions relating to Guidance Letter HKEX-86-16 "Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications"
Series 31 06/02/2015
(21/12/2015)
Questions relating to the Review of Listing Rules on Disclosure of Financial Information with reference to the New Companies Ordinance and Hong Kong Financial Reporting Standards and Proposed Minor/Housekeeping Rule Amendments
Series 30 19/12/2014 (14/07/2015) Questions relating to the Risk Management and Internal Control section of the Corporate Governance Code (Effective for accounting periods beginning on or after 1 January 2016)
Series 29 17/11/2014
(04/11/2016)
Shanghai-Hong King Stock Connect
Series 28 21/03/2014
(29/05/2015)
Rule Requirements Relating to Connected Transactions (effective 1 July 2014)
Series 27 14/03/2014 Selection of Headline Categories and Titles for Announcements (effective 1 April 2014)
Series 26 21/02/2014
(01/04/2015)
Questions relating to the New Companies Ordinance and its impact on issuers (Effective from 3 March 2014)
Series 25 27/09/2013 Listing of Overseas Companies
Series 24 26/07/2013
(11/11/2016)
Rule changes to complement new sponsor regulation (effective from 1 January 2013)
Series 23 21/06/2013
(17/10/2014)
Disclosure of a new applicant's unaudited net profits/ losses after its track record period in a listing document
Series 22 30/04/2013 Rule changes consequential on the statutory backing of the obligation on listed corporations to disclose inside information (effective from 1 January 2013)
Series 21 27/03/2013 Questions relating to the Corporate Governance Code and Associated Listing Rules
Series 20 28/02/2013
(01/07/2014)
Rule Requirements relating to Notifiable Transactions, Connected Transactions, Mineral Companies, Issues of Securities and Corporate Governance Code
Series 19 13/12/2012
(01/04/2015)
Amendments to the Corporate Governance Code and Corporate Governance Report relating to Board Diversity (effective 1 September 2013)
Series 18 31/08/2012
(21/12/2015)
The Environmental, Social and Governance Reporting Guide
Series 17 19/12/2011
(01/04/2015)
Review of the Corporate Governance Code And Associated Listing Rules
Series 16 28/10/2011 Review of the Corporate Governance Code and Associated Listing Rules (Superseded by Series 17)
Series 15 20/10/2011
(01/04/2015)
Rule amendments relating to property valuation requirements (effective 1 January 2012)
Series 14 31/05/2011
(02/01/2013)
Model Code for Securities Transactions by Directors of Listed Issuers
Series 13 26/11/2010
(08/07/2015)
Rules amendments relating to Mixed Media Offer (effective 1 February 2011)
Series 12 26/05/2010
(01/07/2014)
Amendments relating to New Listing Rules for Mineral Companies (effective 3 June 2010)
Series 11 20/05/2010
(01/07/2014)
Rule Amendments relating to Circulars and Listing Documents of Listed Issuers (effective 3 June 2010)
Series 10 20/05/2010
(01/07/2014)
Amendments to Connected Transaction Rules (effective 3 June 2010)
Series 9 14/12/2009
(01/07/2014)
Rule Requirements relating to Notifiable Transactions, Connected Transactions, Amendments to Articles of Association and Notices of Meeting
Series 8 28/11/2008
(01/04/2015)
Rule Amendments relating to the 2008 Combined Consultation
Series 7 28/11/2008
(29/05/2015)
Rule Requirements relating to Notifiable Transactions, Connected Transactions and Issues of Securities by Listed Issuers
Series 6 09/05/2008
(17/04/2014)
HKEx's Framework for Depositary Receipts (HDRs)
Series 5 02/05/2008 (31/10/2014) Rule Amendments relating to GEM Review
Series 4 05/11/2007
(17/04/2014)
Web Proof Information Pack (WPIP) (Withdrawn in July 2014)
Series 3 22/03/2007
(23/06/2014)
Electronic Disclosure
Series 2 01/03/2006
(30/09/2009)
Minor and Housekeeping Rule Amendments
Series 1 31/03/2004
(11/11/2016)
Rule Amendments relating to Corporate Governance and Listing Criteria Issues