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Guidance Letters for Listed Issuers

Date (dd/mm/yyyy) Reference No. Listing Rules/Topics Particulars Document Type Content Category
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 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(Withdrawn in October 2019)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