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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 Core Shareholder Protection Standards
                        • 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                        • Appendix 6A [Repealed]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, Levies and Trading Fees 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                        • Appendix 9 [Repealed]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
                        • Appendix 13 Additional Requirements in Respect of Certain Jurisdictions
                        • Appendix 14 Corporate Governance Code
                          • INTRODUCTION
                          • PART 1 - MANDATORY DISCLOSURE REQUIREMENTS
                          • PART 2 - PRINCIPLES OF GOOD CORPORATE GOVERNANCE, CODE PROVISIONS AND RECOMMENDED BEST PRACTICES
                            • A. CORPORATE PURPOSE, STRATEGY AND GOVERNANCE
                            • B. BOARD COMPOSITION AND NOMINATION
                              • B.1 Board composition, succession and evaluation
                                • Principle
                                • Code Provisions
                                • Recommended Best Practices
                                  • B.1.5
                                  • B.1.6
                              • B.2 Appointments, re-election and removal
                              • B.3 Nomination Committee
                            • C. DIRECTORS’ RESPONSIBILITIES, DELEGATION AND BOARD PROCEEDINGS
                            • D. AUDIT, INTERNAL CONTROL AND RISK MANAGEMENT
                            • E. REMUNERATION
                            • F. SHAREHOLDERS ENGAGEMENT
                        • 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. Appendix 14 Corporate Governance Code
                8. PART 2 - PRINCIPLES OF GOOD CORPORATE GOVERNANCE, CODE PROVISIONS AND RECOMMENDED BEST PRACTICES
                9. B. BOARD COMPOSITION AND NOMINATION
                10. B.1 Board composition, succession and evaluation
                11. Recommended Best Practices
                View Current PDF
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                • Jan 01 2019 - Dec 31 2021
                • Jan 01 2022
                ‹ B.1.4 B.1.5 ›

                Recommended Best Practices

                • B.1.5
                • B.1.6
                ‹ B.1.4 B.1.5 ›
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