Guidance Letters for Listed Issuers
| Date (dd/mm/yyyy) | Reference No. | Listing Rules/Topics | Particulars | Document Type | Content Category |
| 06/11/2020 | GL109-20 | Main Board Chapter 20 and Part G of Appendix 7 | Guidance on continuing obligations of authorised collective investment schemes ("CISs") listed under Chapter 20 of the Main Board Listing Rules | Guidance Letter | Listed Issuers |
| 28/08/2020 | GL108-20 | Main Board Rules 3.28, 3.29 and 8.17, and Appendix 14 to the Main Board Rules GEM Rules 5.14, 5.15 and 11.07, and Appendix 15 to the GEM Rules |
Experience and Qualification Requirements of a Company Secretary | Guidance Letter | New Applicants / Listed Issuers |
| 01/10/2019 | GL106-19 | Main Board Rule 13.24 GEM Rule 17.26 | Guidance on sufficiency of operations (Updated in October 2020 and June 2021) |
Guidance Letter | Listed Issuers |
| 01/10/2019 | GL105-19 | Main Board Rule 14.06D GEM Rule 19.06D | Guidance on Large Scale Issues of Securities | Guidance Letter | Listed Issuers |
| 01/10/2019 | GL104-19 | Main Board Rules 14.06B, 14.06C and 14.06E GEM Rules 19.06B, 19.06C and 19.06E | Guidance on application of the reverse takeover Rules | Guidance Letter | Listed Issuers |
| 26/04/2019 | GL103-19 | Main Board Rules 2.13 and 11.07 GEM Rules 14.08(7) and 17.56 |
Guidance for applicants on the presentation of the non-GAAP financial measures in a listing document and any relevant documents pursuant to the Exchange’s Listing Rules | Guidance Letter | New Applicants / Listed Issuers |
| 29/06/2018 | GL96-18 | Main Board Rules 2.03, 2.06 and 6.01(4) GEM Rules 2.06, 2.09 and 9.04(4) |
Guidance on listed issuer's suitability for continued listing (Updated in October 2019) |
Guidance Letter | Listed Issuers |
| 25/05/2018 | GL95-18 | Main Board Rules 6.01, 6.01A and 6.10 GEM Rules 9.14, 9.14A and 9.15 |
Guidance on long suspension and delisting (Updated in March, September and October 2019) |
Guidance Letter | Listed Issuers |
| 29/04/2016 | GL88-16 | Main Board Rules 2.03, 2.06, 8.20 and 13.64A GEM Rules 2.06, 2.09, 11.30(2), and 17.76A |
Guidance on bonus issues of shares (Updated in July 2018) |
Guidance Letter | Listed Issuers |
| 08/04/2016 | GL87-16 | Main Board Rules 6.01, 6.05, 13.09, 13.10 and 13.10A GEM Rules 9.01, 9.09, 17.10, 17.11 and 17.11A |
Guidance for issuers subject to market commentaries or rumours | Guidance Letter | Listed Issuers |
| 21/12/2015 | GL84-15 | Main Board Rules 14.82, 14.83 and 14.84 GEM Rules 19.82, 19.83 and 19.84 |
Guidance on Cash Company Rules (Withdrawn in October 2019) |
Guidance Letter | Listed Issuers |
| 11/12/2015 | GL83-15 | Main Board Rules 6.05, 13.09, 13.10, 13.10A and 13.10B GEM Rules 9.09, 17.10, 17.11, 17.11A and 17.12 |
Guidance on trading halts | Guidance Letter | Listed Issuers |
| 29/05/2015 | GL80-15 | Main Board Rules 2.03(6), 8.08, 13.27, 13.28, 13.36, 13.32(1), 16.03 and 28.05 GEM Rules 2.06(6), 11.23(7), 17.30, 17.32, 17.39, 17.40, 17.41, 17.42C, 22.03 and 34.05 |
Guidance on the issue of convertible securities by listed issuers (Updated in July 2018) |
Guidance Letter | Listed Issuers |
| 07/11/2014 | GL79-14 | Chapter 20 of Main Board Rules | Guidance on Documentary Requirements and Administrative Matters for Collective Investment Schemes ("CIS") Applications (Updated in November 2014, July and November 2015 and June 2016) |
Guidance Letter | Listed Issuers |
| 30/05/2014 | GL78-14 | Main Board Rules 14.06(6), 14.54, 14.55, 14.57, 14.92 and 14.93 GEM Rules 19.06(6), 19.54, 19.55, 19.57, 19.91 and 19.92 |
Guidance on application of reverse takeovers requirements under Rule 14.06(6) (GEM Rule 19.06(6)) (Withdrawn in October 2019) |
Guidance Letter | Listed Issuers |
| 23/05/2014 | GL77-14 | Main Board Rules 2.03(3) and 2.03(5) GEM Rules 2.06(3) and 2.06(5) |
Guidance on listed issuers using contractual arrangements for their businesses (Updated in July 2014, August 2015 and April 2018) |
Guidance Letter | Listed Issuers |
| 02/05/2014 | GL76-14 | Main Board Rules 13.39(6)&(7), 13.80 to 13.84 and 14A.45 GEM Rules 17.47(6)&(7), 17.92 to 17.96 and 20.43 |
Guidance on opinion letters prepared by independent financial advisers under the Listing Rules (Updated in July 2014) |
Guidance Letter | Listed Issuers |
| 21/03/2014 | GL73-14 | Main Board Rules 14A.51 to 14A.59, 14A.71 to 14A.72 GEM Rules 20.49 to 20.57, 20.69 to 20.70 |
Guidance on pricing policies for continuing connected transactions and their disclosure (Updated in July 2014) |
Guidance Letter | New Applicants / Listed Issuers |
| 24/01/2014 | GL71-14 | Main Board Rules 2.13(2) and 11.07 GEM Rules 14.08(7) and 17.56(2) |
Gambling Activities Undertaken by Listing Applicants and/or Listed Issuers | Guidance Letter | New Applicants / Listed Issuers |
| 24/01/2014 | GL70-14 | Main Board Rules Chapter 14A GEM Rules Chapter 20 |
Guide on Connected Transaction Rules (Withdrawn in July 2014) |
Guidance Letter | New Applicants / Listed Issuers |
| 13/12/2013 | GL69-13 | Main Board Rules 14.06B and 14.54, Chapter 8, Practice Note 15 GEM Rules 19.06B and 19.54, Chapter 11, Practice Note 3 |
Guidance to issuers contemplating (i) a spin-off and separate listing of businesses or assets on the Exchange; or (ii) a reverse takeover where the issuer is deemed a new listing applicant (Updated in October 2019) |
Guidance Letter | Listed Issuers |
| 18/09/2013 | GL67-13 | Main Board Rules 3A.19 to 3A.31 GEM Rules 6A.19 to 6A. 38 |
Guidance on the compliance adviser requirement for newly listed issuers | Guidance Letter | Listed Issuers |
| 06/09/2013 | GL66-13 | Main Board Rules 6.01, 6.04, 6.10, 13.24 and Practice Note 17 GEM Rules 9.01, 9.14, 9.15, 9.16 and 17.26 |
Guidance for long suspended companies (Updated in August 2018, March and October 2019) |
Guidance Letter | Listed Issuers |
| 11/01/2013 | GL47-13 | Main Board Rules 18.14 to 18.18 GEM Rules 18A.14 and 18A.18 |
Guidance on Continuing Obligations under Chapter 18 | Guidance Letter | Listed Issuers |