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                HKEX
                Listing Regulations
                Rules and Guidance
                Rules and Guidance

                Listing Rules and Guidance: Contents

                • Rules and Guidance
                  • Listing Rules
                    • Main Board Listing Rules
                      • GENERAL
                      • EQUITY SECURITIES
                      • INVESTMENT VEHICLES
                      • DEBT SECURITIES
                      • HKEC — LISTING
                      • GUIDANCE / PRACTICE NOTES
                      • APPENDICES
                        • Appendix 1 Contents of Listing Documents
                        • Appendix 2 Documents of Title
                        • Appendix 3 Articles of Association
                        • Appendix 4 Trust Deeds or Other Documents Securing or Constituting Debt Securities
                        • Appendix 5 Forms Relating to Applications for Listing
                        • Appendix 6 Placing Guidelines for Equity Securities
                        • Appendix 6A [Repealed]
                        • Appendix 7 Listing Agreements (annotated)
                        • Appendix 8 Listing Fees, Transaction Levies on New Issues and Brokerage
                        • Appendix 9 [Repealed]
                        • Appendix 10 Model Code for Securities Transactions by Directors of Listed Issuers
                        • Appendix 11 Model Form of Formal Notice
                        • Appendix 12 Securities and Futures (Stock Market Listing) Rules
                          • Part I Preliminary
                          • Part II Stock Market Listing
                          • Part III Suspension of Dealings
                          • Part IV Approved Share Registrars
                          • Part V Miscellaneous
                            • 17. Waiver of requirements of Parts 2 and 3
                            • 18. Suspensions, etc. by a recognized exchange company to be notified to the Commission
                            • 19. Notices, etc. to be in writing
                            • 20. Transitional
                        • Appendix 13 Additional Requirements in Respect of Certain Jurisdictions
                        • Appendix 14 Corporate Governance Code and Corporate Governance Report
                        • Appendix 15 [Repealed]
                        • Appendix 16 Disclosure of Financial Information
                        • Appendix 17 Sponsor's Undertaking and Statement of Independence
                        • Appendix 18 [Repealed]
                        • Appendix 19 Sponsor's Declaration
                        • Appendix 20 Compliance Adviser's Undertaking
                        • Appendix 21 Independent Financial Adviser's Independence Declaration
                        • Appendix 22 Independent Financial Adviser's Undertaking
                        • Appendix 23 Corporate Governance Report [Merged with Appendix 14]
                        • Appendix 24 Headline Categories
                        • Appendix 25 Content of a Competent Person's Report for Petroleum Reserves and Resources
                        • Appendix 26 Summary Form of Disclosure for Property Interests
                        • Appendix 27 Environmental, Social and Governance Reporting Guide
                        • Appendix 28 Transitional Arrangements for Eligible Issuers
                        • Appendix 29 Financial Adviser's Declaration (For Extreme Transaction)
                        • Appendix 30 Financial Adviser's Undertaking (For Extreme Transaction)
                    • 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.

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                1. Home
                2. Listing
                3. Rules and Guidance
                4. Listing Rules
                5. Main Board Listing Rules
                6. APPENDICES
                7. Securities and Futures (Stock Market Listing) Rules
                8. Part V Miscellaneous
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                ‹ 16. Appeal against suspension 17. Waiver of requirements of Parts 2 and 3 ›

                Part V Miscellaneous

                • 17. Waiver of requirements of Parts 2 and 3
                • 18. Suspensions, etc. by a recognized exchange company to be notified to the Commission
                • 19. Notices, etc. to be in writing
                • 20. Transitional
                ‹ 16. Appeal against suspension 17. Waiver of requirements of Parts 2 and 3 ›
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