Archive - Other Guidance Materials for Listed Issuers

Guidance Materials marked up against the last published versions (from January 2014 onwards)

With effect from 2014, we will publish a marked-up version of the Guidance Materials in the Archive to enable readers to note the changes made to the last version.

Release Date (Latest Update Date) (dd/mm/yyyy)	Particulars (compared against the last published version)	Document Type	Content Category
09/02/2021 (28/09/2023)	Guide on Practices and Procedures for Post-vetting Announcements of Listed Issuers and Handling Matters involving Trading Arrangements prior to Publication of Announcements (marked-up version issued in September 2023)	Guide	Listed Issuers
28/11/2008 (28/09/2023)	Interpretation of Listing Rules and Requests for Individual Guidance (marked-up version issued in September 2023)	Guide	Listed Issuers
13/09/2013 (28/04/2023)	Disciplinary Procedures – Listing Committee (marked-up version issued in April 2023)	Guidelines	Enforcement
5/7/2019 (28/04/2023)	Disciplinary Procedures – Listing Review Committee (marked-up version issued in April 2023)	Guidelines	Enforcement
13/09/2013 (25/10/2022)	Enforcement Sanctions Statement (marked-up version issued in October 2022)	Guidelines	Listed Issuers
28/11/2008 (01/10/2020)	Guide on Trading Arrangements for Selected Types of Corporate Actions (marked-up version issued in October 2020)	Guidelines	Listed Issuers
28/11/2008 (01/10/2020)	Guide on Disclosure of Record Date, Book Closure and Latest Time for Lodging Transfers of Shares (marked-up version issued in October 2020)	Guidelines	Listed Issuers
14/12/2009 (01/10/2020)	Guide on Distribution of Dividends and Other Entitlements (marked-up version issued in October 2020)	Guidelines	Listed Issuers
18/11/2010 (17/12/2018)	Circular to Management Companies of SFC-authorised Exchange Traded Funds - List of Potential Events Triggering Ongoing Disclosure (marked-up version issued in December 2018)	Letter to Issuers	Listed Issuers
13/09/2013 (17/02/2017)	Enforcement Policy Statement (marked-up version issued in February 2017)	Policy Statement	Listed Issuers
02/01/2013 (01/04/2015)	Guide on Pre-vetting Requirements and Selection of Headline Categories for Announcements (marked-up version issued in April 2015)	Guidelines	Listed Issuers

Superseded or withdrawn Guidance Materials

Release Date (Withdrawal Date) (dd/mm/yyyy)	Particulars	Document Type	Content Category
01/04/2015 (28/09/2023)	Guide on Pre-vetting Requirements and Selection of Headline Categories for Announcements (superseded by new version issued in September 2023)	Guide	Listed Issuers
24/09/2010 (28/02/2023)	Guide on General Meetings (Superseded by new version issued in February 2023)	Guide	Listed Issuers
11/2018 (03/2020)	How to prepare an ESG report (November 2018)	Guideline	Listed Issuers
09/2015 (07/2019)	Listing enforcement strategy, current theme and case study (September 2015)	Presentation Materials	Enforcement
04/2014 (07/2019)	Enforcement of Listing Rules and update (Simplified Chinese version only) (April 2014)	Presentation Materials	Enforcement
09/2013 (07/2019)	Disciplinary Procedures (Main Board) – Listing Matters (for disciplinary actions commenced before 13 September 2013)	Guideline	Enforcement
03/2000 (07/2019)	Disciplinary Procedures (GEM) – Listing Matters	Guideline	Enforcement
10/05/2012 (11/12/2015)	Continuous disclosure obligations of issuers	Letter to Issuers	Listed Issuers
30/06/2011 (11/12/2015)	Policy on Share Trading Suspension	Letter to Issuers	Listed Issuers
11/03/2003 (24/01/2014)	Gambling Activities Undertaken by Listing Applicants and/or Listed Issuers (Withdrawn on 24/01/2014; superseded by GL71-14 issued in January 2014)	News Release	New Applicants / Listed Issuers
20/04/2012 (24/01/2014)	Guide on Connected Transaction Rules (Withdrawn on 24/01/2014; superseded by GL70-14 issued in January 2014)	Guidelines	New Applicants / Listed Issuers
10/2004 (13/09/2013)	Listing Enforcement Objectives	Guidelines	Enforcement
01/2002 (01/01/2013)	Guide on Disclosure of Price-Sensitive Information	Guidelines	Listed Issuers
21/01/11 (01/01/2013)	New guidelines on publication of overseas regulatory announcements	Letter to Issuers	Listed Issuers
09/08/11 (01/01/2013)	Recent market conditions and the disclosure obligations of listed issuers	Letter to Issuers	Listed Issuers
31/10/08 (01/01/2013)	Recent economic developments and the disclosure obligations of listed issuers	Letter to Issuers	Listed Issuers
17/11/05 (01/01/2013)	Guidance on dissemination of results announcements by listed issuers and associated media and analyst briefings	Letter to Issuers	Listed Issuers
11/12/97 (01/01/2013)	Reminder of obligations under paragraph 2 of the Listing Agreement - price sensitive information	Letter to Issuers	Listed Issuers
29/08/97 (01/01/2013)	Rule Change Highlight - paragraph 2 of the Listing Agreement - price sensitive information	Letter to Issuers	Listed Issuers
29/08/97 (01/01/2013)	MB Rules - Reminder to listed issuers that any change in the application of proceeds from that originally disclosed may constitute price sensitive information under paragraph 2 of the Listing Agreement	Letter to Issuers	Listed Issuers
10/2004 (01/2011)	MB Rule 13.09(2) - Publication of overseas regulatory announcement on the Exchange's website (Superseded by the letter to issuers "New guidelines on publication of overseas regulatory announcements" issued on 21 January 2011)	Guideline	Listed Issuers
10/2001 (03/2004)	Summary of De Minimis and Modified Calculation Concessions (superseded by the Rule amendments relating to Corporate Governance Issues effective 31 March 2004)	Guideline	Listed Issuers
09/1999 (09/2009)	Reference for Disclosure in Annual Reports	Guideline	Listed Issuers

Updated 28 Sep 2023