Skip to main content
search close
mobile search
hkexlogo HKEX
  • Font Size A A A
  • About HKEX
    • Corporate Information
    • Our Brand
    • Organisation
    • Investor Relations
    • Financial Statements
    • Real Time Share Price
    • Corporate Governance
    • Corporate Social Responsibility
    • Visit HKEX
    • Careers
  • Related Sites: LME
    • LME
    • HKEX Group
    • GEM
    • HKEXnews
    • CESC
    • Bond Connect
繁 简
Skip to Content
  • Market Data
      STOCK QUOTE LOOKUP
    • Securities Prices
      • Equities
      • Exchange Traded Products
      • Derivative Warrants
      • Callable Bull / Bear Contracts
      • Real Estate Investment Trusts
      • Debt Securities
    • Futures & Options Prices
      • Equity Index
      • Single Stock
      • Foreign Exchange
      • Interest Rate
      • Commodities
    • Statistics
      • Consolidated Reports
      • Securities Market
      • Derivatives Market
      • Participant
      • Clearing, Settlement and Depository
    • HKEXnews
    • News Alerts
    • Market Data Services
    • HKEX News Website
      HKEXnews
      View listed company announcements and more on the centralised platform for regulatory filings and disclosures
    • News Alert
      News Alerts
      Sign up to receive company announcements or website updates by email
    • Market Data Services
      Market Data Services
      Vendors can sign up to purchase wholesale market data from HKEX’s Market Data Services department
  • Products
    • Securities
      • Equities
      • Exchange Traded Products
      • Derivative Warrants
      • Callable Bull / Bear Contracts
      • Real Estate Investment Trusts
      • Debt Securities
    • Listed Derivatives
      • Equity Index
      • Single Stock
      • Foreign Exchange
      • Interest Rate
      • Commodities
    • OTC Derivatives
      • Eligible OTC Clear Products
      • Interest Rate Swaps
      • Non Deliverable Forwards
      • Cross Currency Swaps
      • Deliverable FX
    • Find a Partner
    • USD/CNH Gold Futures
    • RMB Currency Options
    • Find a Partner
      Find a Partner
      Search our directory to find brokers, clearing members, information vendors and more
    • USD CNH Gold Futures
      USD/CNH Gold Futures
      The first pair of dual currency and physically-settled gold futures contracts in Hong Kong
    • RMB Currency Options
      RMB Currency Options
      Your new option to manage RMB currency risks
  • Services
    • Trading
      • Securities
      • Derivatives
    • Connectivity
      • Hosting Services
      • SDNet/2
    • Market Data Services
      • Real Time Data Services
      • Historical Data Services
      • Infrastructure
    • Rules, Forms & Fees
      • Rules
      • Forms
      • Fees
    • Clearing
      • Securities
      • Listed Derivatives
      • OTC Clear
    • Settlement and Depository
      • Settlement - Securities
      • Depository
      • Common Nominee Services
      • Securities Admission into CCASS
      • PFMI
    • NextGen Post Trade Programme
      • Overview
    • Circulars & Notices
    • Become a Participant
    • Market Open/Closing Ceremonies
    • Circulars and Notices
      Circulars & Notices
      View important information issued by HKEX to Exchange and Clearing House Participants, Market Data vendors and Hosting Services members
    • Become a Participants
      Become a Participant
      Connect to Hong Kong’s financial market through HKEX
    • Market Open Ceremony
      Market Open/Closing Ceremonies
      Learn how your company can bang the gong to officially open trading on HKEX’s markets
  • Listing
    • Why List in Hong Kong
    • Getting Started
    • How We Regulate
    • Rules and Guidance
    • Listing in Hong Kong
    • Listing Rules
    • Contact Us
    • Guide_To_Listing
      Listing in Hong Kong
      Get started on the path to listing on HKEX’s markets.
    • Interactive_Listing_Rules
      Listing Rules
      The Listing Rules for the Main Board and GEM of the Stock Exchange of Hong Kong
    • Contact us
      Contact Us
      Get in touch with our Listing Department
  • News
    • News Releases
    • Market Consultations
    • Tender Notices
    • Research Reports
    • Media Centre
    • Charles Li Direct
    • Circulars & Notices
    • HKEX Calendar
    • Charles Li Blog
      Charles Li Direct
      Market insights from HKEX Chief Executive Charles Li
    • Circular and Notices
      Circulars & Notices
      View important information issued by HKEX to Exchange and Clearing House Participants, Market Data vendors and Hosting Services members
    • HKEX Calendar
      HKEX Calendar
      Download or subscribe to our calendar containing trading and clearing information, public holidays and more
  • Mutual Market
    • Stock Connect
    • Bond Connect
    • Daily Statistics
    • Market Highlights
    • Eligible Securities
    • Daily Statistics
      Daily Statistics
      Statistics on Shanghai and Shenzhen Connect updated daily
    • Market Highlights
      Market Highlights
      View the market capitalization, number of listed companies and more in the Hong Kong, Shanghai and Shenzhen markets
    • Eligible Securities
      Eligible Securities
      A list of securities eligible for trading under Shanghai and Shenzhen Stock Connect
  • Search
    繁 简
  • Font Size a a a
  • About HKEX
    • Corporate Information
    • Our Brand
    • Organisation
    • Investor Relations
    • Financial Statements
    • Real Time Share Price
    • Corporate Governance
    • Corporate Social Responsibility
    • Visit HKEX
    • Careers
  • Related Sites: LME
    • LME
    • HKEX Group
    • GEM
    • HKEXnews
    • CESC
    • Bond Connect
  • Notification
Cancel
  • Listing
  • Rules and Guidance

LISTING RULES, INTERPRETATION & GUIDANCE

Listing Rules and Guidance: Contents

  • Rules and Guidance
    • Listing Rules
      • Main Board Listing Rules
        • GENERAL
        • EQUITY SECURITIES
          • Chapter 7 Methods of Listing
          • Chapter 8 Qualifications for Listing
          • Chapter 8A Weighted Voting Rights
          • Chapter 9 Application Procedures and Requirements
          • Chapter 9A Transfer of Listing from GEM to Main Board
          • Chapter 10 Restrictions on Purchase and Subscription
            • Restrictions on Preferential Treatment of Purchase and Subscription Applications
            • Restrictions on Directors' Purchase and Subscription
            • Restrictions on Existing Shareholders' Purchase and Subscription
            • Restrictions and Notification Requirements on Issuers Purchasing their own Shares on a Stock Exchange
            • Restrictions on disposal of shares by controlling shareholders following a new listing
            • No further issues of securities within 6 months of listing
            • Restrictions on multiple applications
          • Chapter 11 Listing Documents
          • Chapter 11A Prospectuses
          • Chapter 12 Publication Requirements
          • Chapter 13 Continuing Obligations
          • Chapter 14 Notifiable Transactions
          • Chapter 14A Connected Transactions
          • Chapter 15 Options, Warrants and Similar Rights
          • Chapter 15A Structured Products
          • Chapter 16 Convertible Equity Securities
          • Chapter 17 Share Option Schemes
          • Chapter 18 Mineral Companies
          • Chapter 18A: Chapter 18A Biotech Companies
          • Chapter 19 Overseas Issuers
          • Chapter 19A Issuers Incorporated in the People's Republic Of China
          • Chapter 19B Depositary Receipts
          • Chapter 19C Secondary Listings of Qualifying Issuers
        • INVESTMENT VEHICLES
        • DEBT SECURITIES
        • HKEC — LISTING
        • GUIDANCE / PRACTICE NOTES
        • APPENDICES
      • GEM Listing Rules
      • Amendments to Main Board Listing Rules
      • Amendments to GEM Listing Rules
    • Interpretation and Guidance

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.

Entire section Custom print Search
Home > Listing > Rules and Guidance > Listing Rules > Main Board Listing Rules > EQUITY SECURITIES > Chapter 10 Restrictions on Purchase and Subscription
  Versions

 
View Current PDF
‹ 9A.13 Restrictions on Preferential Treatment of Purchase and Subscription Applications ›

Chapter 10 Restrictions on Purchase and Subscription

  • Restrictions on Preferential Treatment of Purchase and Subscription Applications
    • 10.01
    • 10.02
  • Restrictions on Directors' Purchase and Subscription
    • 10.03
  • Restrictions on Existing Shareholders' Purchase and Subscription
    • 10.04
  • Restrictions and Notification Requirements on Issuers Purchasing their own Shares on a Stock Exchange
    • 10.05
    • 10.06
  • Restrictions on disposal of shares by controlling shareholders following a new listing
    • 10.07
  • No further issues of securities within 6 months of listing
    • 10.08
  • Restrictions on multiple applications
    • 10.09
‹ 9A.13 Restrictions on Preferential Treatment of Purchase and Subscription Applications ›
HKEX Logo
  • Follow on Twitter
  • Follow on LinkedIn
  • Follow on WeChat
  • Follow on YouTube
  • RSS Feed
  • Contact
  • Career
  • FAQ
  • Sitemap
  • Glossary
  • Disclaimer
  • Hyperlink Policy
  • Privacy Policy
  • Website Tutorials

©2017-18 Hong Kong Exchanges and Clearing Limited. All rights reserved.