Versions

 

By Series

FAQ Number/
Series Number
First Release Date
(Last Update Date)
(dd/mm/yyyy)
 
102-2022 to 117-2022 16/09/2022 Questions Relating to Special Purpose Acquisition Companies
083-2022 to 101-2022 29/07/2022 Amendments to Listing Rules relating to Share Schemes of Listed Issuers (effective on 1 January 2023)
078-2022 to 082-2022 17/06/2022 Questions on Core Shareholder Protection Standards
077-2022 22/04/2022
(31/08/2022)
Consequential changes to the Listing Rules to complement the new Code of Conduct provisions on bookbuilding and placing activities in equity capital market and debt capital market transactions and the sponsor coupling proposal (FAQ No.077-2022) (Updated in August 2022)
076-2022 01/01/2022 Questions on recognition of overseas audit firms in relation to the amendments to the Financial Reporting Council Ordinance – Effective on 1 October 2019 (FAQ No.076-2022)
075-2021 18/06/2021
(01/01/2022)
Questions relating to Listing Rule changes on Paperless Listing & Subscription Regime (effective on 5 July 2021), Online Display of Documents (effective on 4 October 2021) and Reduction of the Types of Documents on Display (effective on 4 October 2021) (Updated in January 2022)
073-2021 to 074-2021 21/05/2021 Questions on the notifiable and connected transaction requirements relating to loan transactions and acquisitions of wealth management products
072-2020 06/11/2020 Questions on adjustments of the exercise price of share options
071-2020 17/04/2020 Questions relating to nature of dividend
070-2019 08/11/2019 Question on amendments to articles of association
068-2019 to 069-2019 01/10/2019
(01/10/2020)
Questions relating to H-share issuers whose domestic shares are quoted on the National Equities Exchange and Quotations (NEEQ) (Updated in October 2020)
059-2019 to 067-2019 06/09/2019
(01/01/2022)
Questions on recognition of overseas audit firms in relation to the amendments to the Financial Reporting Council Ordinance – Effective on 1 October 2019 (Updated in January 2022)
058-2019 30/08/2019 Questions on the Book Closure and Emergency Share Registration Arrangements in the event of “Extreme Conditions” caused by Super Typhoons
057-2019 01/10/2019 Questions on the notifiable transaction requirements relating to securities transactions
054-2019 to 056-2019 28/02/2019
(09/02/2021)
Questions on the submission of contact information of directors/supervisors and the disclosure of their former names and aliases
053-2019 28/02/2019 Questions on audit terminology used in the Rules with reference to the HKICPA’s revised Auditor Reporting Standards effective on 15 December 2016 (FAQ No.053-2019)
045-2018 to 052-2018 28/09/2018
(17/04/2020)
Questions on Notifiable and Connected Transaction Rules relating to Lease Transactions of Listed Issuers adopting HKFRS/IFRS 16 “Leases” (or similar accounting standards in other jurisdictions)
030-2018 to 044-2018 24/08/2018
(01/01/2022)
Questions on listing of companies from emerging and innovative sectors (Updated in January 2022)
029-2018 11/05/2018 Question on scope of "pledging of shares" under Rule 13.17
024-2018 to 027-2018 04/05/2018
(29/06/2018)
Questions on calculation of value dilution
023-2018 02/02/2018 (02/2020) Questions relating to the Review of The Growth Enterprise Market (GEM) and changes to the GEM and Main Board Listing Rules (FAQ No. 023-2018) (Withdrawn in February 2020)
008-2017 to
022-2017
15/12/2017
(02/2020)
Questions relating to the Review of The Growth Enterprise Market (GEM) and changes to the GEM and Main Board Listing Rules (Updated in February 2020)
005-2017
006-2017
007-2017
20/10/2017 Questions relating to the Financial Institutions (Resolution) Ordinance (“FIRO”) and its impact
002-2017 to 004-2017 06/01/2017
(28/02/2019)
Questions on audit terminology used in the Rules with reference to the HKICPA’s revised Auditor Reporting Standards effective on 15 December 2016
001-2016
002-2016
003-2016
02/02/2016
(13/05/2016)
Questions relating to Guidance Letter HKEX-86-16 "Guide on Producing Simplified Listing Documents Relating to Equity Securities for New Applications"
Series 31 06/02/2015
(02/2020)
Questions relating to the Review of Listing Rules on Disclosure of Financial Information with reference to the New Companies Ordinance and Hong Kong Financial Reporting Standards and Proposed Minor/Housekeeping Rule Amendments (Updated in February 2020)
Series 30 19/12/2014 (14/07/2015) Questions relating to the Risk Management and Internal Control section of the Corporate Governance Code (Withdrawn in December 2018; Superseded by Series 17)
Series 29 17/11/2014
(13/07/2018)
Shanghai and Shenzhen Connect
Series 28 21/03/2014
(29/06/2018)
Rule Requirements Relating to Connected Transactions (effective 1 July 2014)
Series 27 14/03/2014
(07/12/2018)
Selection of Headline Categories and Titles for Announcements (effective 1 April 2014)
Series 26 21/02/2014
(01/01/2022)
Questions relating to the New Companies Ordinance and its impact on issuers (Updated in January 2022)
Series 25 27/09/2013
(01/01/2022)
Listing of Overseas Companies (Updated in January 2022)
Series 24 26/07/2013
(09/2020)
Rule changes to complement new sponsor regulation (effective from 1 January 2013) (Updated in September 2020)
Series 23 21/06/2013
(17/10/2014)
Disclosure of a new applicant's unaudited net profits/ losses after its track record period in a listing document (Withdrawn in July 2018; Superseded by GL98-18)
Series 22 30/04/2013 Rule changes consequential on the statutory backing of the obligation on listed corporations to disclose inside information (effective from 1 January 2013)
Series 21 27/03/2013 Questions relating to the Corporate Governance Code and Associated Listing Rules (Withdrawn in December 2018; Superseded by Series 17)
Series 20 28/02/2013
(02/2020)
Rule Requirements relating to Notifiable Transactions, Connected Transactions, Mineral Companies and Issues of Securities  (Updated in February 2020)
Series 19 13/12/2012
(01/04/2015)
Amendments to the Corporate Governance Code and Corporate Governance Report relating to Board Diversity (Withdrawn in December 2018; Superseded by Series 17)
Series 18 31/08/2012
(8/11/2021)
The Environmental, Social and Governance Reporting Guide (Updated in November 2021)
Series 17 19/12/2011
(01/2022)
Review of the Corporate Governance Code and Related Listing Rules
Series 16 28/10/2011 Review of the Corporate Governance Code and Associated Listing Rules (Withdrawn in December 2018; Superseded by Series 17)
Series 15 20/10/2011
(01/04/2015)
Rule amendments relating to property valuation requirements (effective 1 January 2012)
Series 14 31/05/2011
(02/01/2013)
Model Code for Securities Transactions by Directors of Listed Issuers
Series 13 26/11/2010
(08/07/2015)
Rules amendments relating to Mixed Media Offer (effective 1 February 2011)
(Withdrawn in July 2018; Superseded by GL81-15)
Series 12 26/05/2010
(01/07/2014)
Amendments relating to New Listing Rules for Mineral Companies (effective 3 June 2010) (Withdrawn in February 2020; Superseded by GL52-13)
Series 11 20/05/2010
(28/02/2019)
Rule Amendments relating to Circulars and Listing Documents of Listed Issuers (effective 3 June 2010)
Series 10 20/05/2010
(01/07/2014)
Amendments to Connected Transaction Rules (effective 3 June 2010)
Series 9 14/12/2009
(01/01/2022)
Rule Requirements relating to Notifiable Transactions, Connected Transactions and Amendments to Articles of Association (Updated in January 2022)
Series 8 28/11/2008
(02/2020)
Rule Amendments relating to the 2008 Combined Consultation  (Updated in February 2020)
Series 7 28/11/2008
(01/10/2019)
Rule Requirements relating to Notifiable Transactions, Connected Transactions and Issues of Securities by Listed Issuers
Series 6 09/05/2008
(01/01/2022)
HKEx's Framework for Depositary Receipts (HDRs) (Updated in January 2022)
Series 5 02/05/2008 (02/2020) Rule Amendments relating to GEM Review  (Updated in February 2020)
Series 4 05/11/2007
(17/04/2014)
Web Proof Information Pack (WPIP) (Withdrawn in July 2014)
Series 3 22/03/2007
(23/06/2014)
Electronic Disclosure (Withdrawn in 31 October 2019)
Series 2 01/03/2006
(04/08/2022)
Minor and Housekeeping Rule Amendments (Updated in August 2022)
Series 1 31/03/2004
(01/01/2022)
Rule Requirements relating to Listing Criteria Issues (Updated in January 2022)