EQUITY SECURITIES
- Chapter 7 Methods of Listing
- Chapter 8 Qualifications for Listing
- Chapter 8A Weighted Voting Rights
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Chapter 9 Application Procedures and Requirements
- Preliminary
- Documentary Requirements — New Listing Applications
- Documentary Requirements — Applications by Listed Issuers
- At the time of application for listing
- Before bulk-printing of the listing document
- On or before the date of issue of the listing document
- In case of a listing document constituting a prospectus under the Companies (Winding Up and Miscellaneous Provisions) Ordinance
- Before dealings commence
- Chapter 9A Transfer of Listing from GEM to Main Board
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Chapter 10 Restrictions on Purchase and Subscription
- Restrictions on Preferential Treatment of Purchase and Subscription Applications
- Restrictions on Directors' Purchase and Subscription
- Restrictions on Existing Shareholders' Purchase and Subscription
- Restrictions and Notification Requirements on Issuers Purchasing their own Shares on a Stock Exchange
- Restrictions on disposal of shares by controlling shareholders following a new listing
- No further issues of securities within 6 months of listing
- Restrictions on multiple applications
- Chapter 11 Listing Documents
- Chapter 11A Prospectuses
- Chapter 12 Publication Requirements
- Chapter 13 Continuing Obligations
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Chapter 14 Notifiable Transactions
- Preliminary
- Definitions
- Classification and explanation of terms
- Notification, publication and shareholders' approval requirements
- Requirements for all transactions
- Additional requirements for major transactions
- Additional requirements for very substantial disposals and very substantial acquisitions
- Additional requirements for reverse takeovers
- Additional requirements for extreme transactions and reverse takeovers
- Contents of announcements
- Contents of circulars
- Options
- Takeovers and mergers
- Cash companies
- General
- Disclaimer
- Material changes
- Distribution in specie to shareholders
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Chapter 14A Connected Transactions
- Introduction
- Definitions
- Definition of connected person
- Exceptions
- Definition of associate
- Definition of connected subsidiary
- Deemed connected persons
- What are connected transactions
- Transactions with connected persons
- Transactions with third parties
- Definition of continuing connected transaction
- Requirements for connected transactions
- Written agreement
- Announcement
- Shareholders' approval
- Circular
- Annual reporting
- Requirements for continuing connected transactions
- Other requirements relating to connected transactions
- Content requirements
- Announcements
- Circulars
- Annual reports
- Exemptions
- De minimis transactions
- Financial assistance
- Issues of new securities by the listed issuer or its subsidiary
- Dealings in securities on stock exchanges
- Repurchases of securities by the listed issuer or its subsidiary
- Directors' service contracts and insurance
- Buying or selling of consumer goods or services
- Sharing of administrative services
- Transactions with associates of passive investors
- Transactions with connected persons at the subsidiary level
- Waivers
- Transactions relating to non-executive directors
- Provision of guarantees to connected subsidiaries or commonly held entities for public sector contracts awarded by tender
- Continuing connected transactions of new applicants
- Chapter 15 Options, Warrants and Similar Rights
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Chapter 15A Structured Products
- Preliminary
- Structured Products
- Issuers
- Guarantors
- Legal Opinions on Guarantee
- Continuing Obligations
- Structured Products
- Single Stock Structured Products
- Baskets
- Single Scheduled Stocks and Basket Scheduled Stocks
- Terms and Conditions
- Collateralised Structured Products
- Disclosure of Agreements
- Further Issue
- Marketing of Structured Products
- Application Procedures and Requirements
- Placing
- Listing Documents
- Documents of Title and Admission into CCASS
- Expiry or Maturity of Structured Products
- Withdrawal of Listing
- Trading halt or suspension of trading
- Register
- Listing Fees
- Authorised Representatives
- Chapter 16 Convertible Equity Securities
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Chapter 17 Share Option Schemes
- Application of chapter 17
- Adoption of a new scheme
- Terms of the scheme
- Granting options to a director, chief executive or substantial shareholder of a listed issuer, or any of their respective associates
- Restriction on the time of grant of options
- Despatch of circular
- Announcement on grant of options
- Disclosure requirements
- Transitional arrangements
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Chapter 18 Mineral Companies
- Scope
- DEFINITIONS AND INTERPRETATION
- CONDITIONS FOR LISTING OF NEW APPLICANT MINERAL COMPANIES
- CONTENTS OF LISTING DOCUMENTS FOR NEW APPLICANTS
- RELEVANT NOTIFIABLE TRANSACTIONS INVOLVING THE ACQUISITION OR DISPOSAL OF MINERAL OR PETROLEUM ASSETS
- CONTINUING OBLIGATIONS
- STATEMENTS ON RESOURCES AND/OR RESERVES
- REPORTING STANDARD
- Chapter 18A: Chapter 18A Biotech Companies
- Chapter 19 Overseas Issuers
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Chapter 19A Issuers Incorporated in the People's Republic Of China
- Preliminary
- Definitions and Interpretation
- Chapter 3A — Sponsors and Compliance Advisers
- Chapter 4 — Accountants' Reports and Pro Forma Financial Information
- Chapter 6 — Trading Halt, Suspension, Cancellation and Withdrawal of Listing
- Chapter 8 — Qualifications for Listing
- Chapter 9 — Application Procedures and Requirements
- Chapter 10 — Restrictions on Purchase and Subscription
- Chapter 11 — Listing Documents
- Chapter 13 — Continuing Obligations
- Chapter 14 — Notifiable Transactions
- Despatch of circular and listing document
- Chapter 17 – Share Option Schemes
- Listing Fees
- Appendix 1
- Appendix 1
- Appendix 3 — Articles of Association or equivalent constitutional documents
- General
- Chapter 19B Depositary Receipts
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Chapter 19C Secondary Listings of Qualifying Issuers
- Scope
- Definitions
- Basic Conditions
- Qualifications for Listing
- Equivalent Standards of Shareholder Protection
- Exceptions to the Rules for All Qualifying Issuers
- Additional Exceptions to the Rules for Certain Qualifying Issuers with a WVR structure
- Migration of the Bulk of Trading to the Exchange's Markets
- Foreign Private Issuers