consolidatedversionoffrequentlyaskedquestions(faqs).doc

Consolidated version of Frequently Asked Questions (FAQs) (Released on 17 September 2010/ Last Updated on 13 July 2015) Status of “Frequently Asked Questions” The following frequently asked questions (FAQs) are designed to help issuers understand and comply with the Listing Rules, particularly in situations not explicitly set out in the Rules or where further clarification may be desirable. Users of the FAQs should refer to the Rules themselves and, if necessary, seek qualified professional advice. The FAQs are not substitutes for the Rules. If there is any discrepancy between the FAQs and the Rules, the Rules prevail. In formulating our “answers”, we may have assumed certain underlying facts, selectively summarised the Rules or concentrated on one particular aspect of the question. They are not definitive and do not apply to all cases where the scenario may at first appear similar. In any given case, regard must be had to all the relevant facts and circumstances. The Listing Division may be consulted on a confidential basis. Contact the Listing Division at the earliest opportunity with any queries. FAQ series numbers in the table below refer to: Series 1 – Rule Amendments relating to Corporate Governance and Listing Criteria Issues Series 2 – Minor and Housekeeping Rule Amendments Series 4 – Web Proof Information Pack (WPIP) (WITHDRAWN IN JULY 2014) Series 5 – Rule Amendments relating to GEM Review Series 6 – HKEx’s framework for depositary receipt (HDRs) Series 7 – Rule Requirements relating to Notifiable Transactions, Connected Transactions and Issues of Securities by Listed Issuers Series 8 – Rule Amendments relating to the 2008 Combined Consultation Series 9 – Rule Requirements relating to Notifiable Transactions, Connected Transactions, Amendments to Articles of Association and Notices of Meeting Series 10 – Amendments?to Connected Transaction Rules Series 11 – Rule Amendments relating to Circulars and Listing Documents of