Versions

 

By Series

FAQ Number/
Series Number
First Release Date
(Last Update Date)
(dd/mm/yyyy)
Particulars
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 Questions relating to H-share issuers whose domestic shares are quoted on the National Equities Exchange and Quotations (NEEQ)
059-2019 to 067-2019 06/09/2019 Questions on recognition of overseas audit firms in relation to the amendments to the Financial Reporting Council Ordinance – Effective on 1 October 2019
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 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
(29/04/2020)
Questions on listing of companies from emerging and innovative sectors
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Review of The Growth Enterprise Market (GEM) and changes to the GEM and Main Board Listing Rules (FAQ No. 023-2018) (Withdrawn in February 2020)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
(02/2020)
Questions relating to the New Companies Ordinance and its impact on issuers (Updated in February 2020)
Series 25 27/09/2013 Listing of Overseas Companies
Series 24 26/07/2013
(02/2020)
Rule changes to complement new sponsor regulation (effective from 1 January 2013) (Updated in February 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
(28/02/2020)
The Environmental, Social and Governance Reporting Guide (Updated in February 2020)
Series 17 19/12/2011
(17/05/2019)
Review of the Corporate Governance Code and Associated 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
(01/10/2019)
Rule Requirements relating to Notifiable Transactions, Connected Transactions and Amendments to Articles of Association
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
(15/02/2018)
HKEx's Framework for Depositary Receipts (HDRs)
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
(30/09/2009)
Minor and Housekeeping Rule Amendments
Series 1 31/03/2004
(02/2020)
Rule Requirements relating to Listing Criteria Issues (Updated in February 2020)