2015
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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 |
| LD92-2015 | 06/2015 | Main Board Rules 2.06 and Chapter 8 GEM Rules 2.09 and Chapter 11 |
To provide guidance on why the Exchange rejected certain listing applications |
| LD91-2015 | 06/2015 (05/2016) |
Main Board Rule 9.03(3) and GEM Rules 12.09 and 12.14 | To provide guidance on why the Exchange returned certain listing applications |
| LD90-2015 | 05/2015 | Main Board Rules 13.36 and 15.02 | Whether Company A was allowed to use the general mandate for placing of warrants to third party investors (Withdrawn in July 2018) |
| LD89-2015 | 05/2015 | Main Board Rules 15.01 and 17.01 | Whether Company A's proposed issue of warrants to certain members of senior management was subject to the requirements of Chapter 17 |
| LD88-2015 | 05/2015 (10/2019) |
Main Board Rule 13.24 | Whether Company A would have sufficient operations or assets under Rule 13.24 after a very substantial disposal |
| LD87-2015 | 05/2015 (08/2018) |
Main Board Rules 6.05 to 6.07 and Paragraph 4 of Practice Note 11 | Whether the Exchange would direct the resumption of trading in Company A's shares under Rule 6.07 |
| LD86-2015 | 04/2015 | GEM Rule 11.12A(1) | Whether Company A's cash flow generated during a period of non-compliance should be counted towards the calculation of minimum cash flow under GEM Rule 11.12A(1) (Withdrawn in April 2019) |
| LD85-2015 | 01/2015 (11/2016) |
Main Board Rule 10.07(1) | Whether Company B, which will cease to be a controlling shareholder of Company A shortly after listing, should be subject to a 12-month lock-up of its shares after Company A's listing under Listing Rule 10.07(1) |