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规则与指引RulesandGuidelines
规则与指引RulesandGuidelines
上市规则(主板)ListingRules(MainBoard)
更新日期:
2007年6月25日Updated:
25June2007
(第八十五次修订)(UpdateNo.85)
香港联合交易所有限公司证券上市规则
RULESGOVERNINGTHELISTINGOFSECURITIESONTHESTOCKEXCHANGEOFHONGKONGLIMIT
总则General
章数一释义
CHAPTER1:
INTERPRETATION
章数二导言
CHAPTER2:
INTRODUCTION
章数二A上市委员会、上市上诉委员会及上市科的组织、职权、职务及议事程序
CHAPTER2A:
COMPOSITION,POWERS,FUNCTIONSANDPROCEDURESOFLISTINGCOMMITTEE,THELISTINGAPPEALSCOMMITTEEANDTHELISTINGDIVISION
章数二B复核程序
CHAPTER2B:
REVIEWPROCEDURES
章数三授权代表及董事
CHAPTER3:
AUTHORISEDREPRESENTATIVEANDDIRECTORS
章数三A保荐人及合规顾问
CHAPTER3A:
SPONSORSandCOMPLIANCEADVISERS
章数四会计师报告及备考财务资料
CHAPTER4:
ACCOUNTANTS'REPORTSANDPROFORMSFINANCIALINFORMATION
章数五物业的估值及资料
CHAPTER5:
VALUATIONOFANDINFORMATIONONPROPERTIES
章数六停牌、除牌及撤回上市
CHAPTER6:
SUSPENSION,CANCELLATIONANDWITHDRAWALOFLISTING
第一章Chapter1
总则GENERAL
释义INTERPRETATION
为释疑起见,《香港联合交易所有限公司证券上市规则》只适用于那些与证券和其发行人有关的事宜,而该等证券是在由本交易所营运的证券市场(除创业板以外)上市的;这个证券市场,在《香港联合交易所有限公司创业板证券上市规则》(“《创业板上市规则》”)中,是被界定为“主板”。
所有与创业板及在创业板上市的证券和其发行人有关的事宜,均受《创业板上市规则》规限。
Fortheavoidanceofdoubt,theRulesGoverningtheListingofSecuritiesonTheStockExchangeofHongKongLimitedapplyonlytomattersrelatedtothosesecuritiesandissuerswithsecuritieslistedonthestockmarketoperatedbytheExchangeotherthantheGrowthEnterpriseMarket(“GEM”).Thisstockmarketisdefinedasthe“MainBoard”intheRulesGoverningtheListingofSecuritiesontheGrowthEnterpriseMarketofTheStockExchangeofHongKongLimited(the“GEMListingRules”).AllmattersrelatedtoGEMandsecuritiesandissuerswithsecuritieslistedonGEMaregovernedbytheGEMListingRules.
1.01在本册内,除文意另有所指外,下列词语具有如下意义:
1.01Throughoutthisbook,thefollowingterms,savewherethecontextotherwiserequires,havethefollowingmeanings:
“账目”或“帐目”(accounts)涵义与“财务报表”相同。
反之,“财务报表”亦作“账目”或“帐目”解
“accounts”hasthesamemeaningas“financialstatements”andviceversa
“经核准的股票过户登记处”(approvedshareregistrar)所指的股票过户登记处,为根据《证券及期货(在证券市场上市)规则》第12条获批准成立的法人组织的属下成员
“approvedshareregistrar”ashareregistrarwhoisamemberofanassociationofpersonsapprovedundersection12oftheSecuritiesandFutures(StockMarketListing)Rules
“章程”(Articles)指本交易所的组织章程
“Articles”theArticlesofAssociationoftheExchange
“有资产支持的证券”(asset-backedsecurities)指由金融资产支持的债务证券,而该等债务证券在发行时,在协议内证明有关资产的存在,并旨在用以筹集资金,以供支付证券应付的利息和偿还到期日的本金,但以全部或部分不动产或其它有形资产作直接抵押的债务证券除外
“asset-backedsecurities”debtsecuritiesbackedbyfinancialassetswhich,atthetimeoftherelevantissues,areevidencedbyagreementsandintendedtoproducefundstobeappliedtowardsinterestpaymentsdueonthesecuritiesandrepaymentofprincipalonmaturity,exceptthosedebtsecuritieswhicharedirectlysecured,inwholeorinpart,onrealpropertyorothertangibleassets
“联系人”(associate)(a)就任何个人而言,指:
“associate”(a)inrelationtoanindividualmeans:
—
(i)其配偶;
(i)hisspouse;
(ii)该名人士或其配偶未满18岁的(亲生或领养)子女或继子女(与上述(a)(i)项统称“家属权益”(familyinterests));
(ii)anychildorstep-child,naturaloradopted,undertheageof18yearsofsuchindividualorofhisspouse(togetherwith(a)(i)above,the“familyinterests”);
(iii)以其本人或其任何家属权益为受益人(或如属全权信托,以其所知是全权托管的对象)的任何信托中,具有受托人身份的受托人;以及受托人以其受托人身份直接或间接拥有股权的任何公司(“受托人所控制的公司”),而受托人所拥有的股权足以让其可在股东大会上行使或控制行使30%(或《收购守则》不时规定会触发强制性公开要约所需的其它百分比)或30%以上的表决权,或足以让其控制董事会大部分成员,以及上述公司的任何附属公司(统称为“受托人权益”);
(iii)thetrustees,actingintheircapacityassuchtrustees,ofanytrustofwhichheoranyofhisfamilyinterestsisabeneficiaryor,inthecaseofadiscretionarytrust,is(tohisknowledge)adiscretionaryobjectandanycompany(“trusteecontrolledcompany”)intheequitycapitalofwhichthetrustees,actingintheircapacityassuchtrustees,aredirectlyorindirectlyinterestedsoastoexerciseorcontroltheexerciseof30%(orsuchotheramountasmayfromtimetotimebespecifiedintheTakeoversCodeasbeingthelevelfortriggeringamandatorygeneraloffer)ormoreofthevotingpoweratgeneralmeetings,ortocontrolthecompositionofamajorityoftheboardofdirectorsandanyothercompanywhichisitssubsidiary(together,the“trusteeinterests”);
(iv)受托人所控制的公司的控股公司,或任何此等控股公司的附属公司;及
(iv)aholdingcompanyofatrustee-controlledcompanyorasubsidiaryofanysuchholdingcompany;and
(v)其本人、其家属权益、上述(a)(iii)项所述的受托人以其受托人的身份,及/或任何受托权益直接或间接拥有股本权益的任何公司,而他们所合共拥有的股本权益足以让他们在股东大会上行使或控制行使30%(或《收购守则》不时规定会触发强制性公开要约所需的其它百分比)或30%以上的投票权,或足以让他们控制董事会大部份成员,以及上述公司的任何附属公司或控股公司或其控股公司的附属公司;及
(v)anycompanyintheequitycapitalofwhichhe,hisfamilyinterests,anyofthetrusteesreferredtoin(a)(iii)above,actingintheircapacityassuchtrustees,and/oranytrusteeintereststakentogetheraredirectlyorindirectlyinterestedsoastoexerciseorcontroltheexerciseof30%(orsuchotheramountasmayfromtimetotimebespecifiedintheTakeoversCodeasbeingthelevelfortriggeringamandatorygeneraloffer)ormoreofthevotingpoweratgeneralmeetings,ortocontrolthecompositionofamajorityoftheboardofdirectorsandanyothercompanywhichisitssubsidiaryorholdingcompanyorafellowsubsidiaryofanysuchholdingcompany;and
(b)就一家公司而言,指
(b)inrelationtoacompanymeans:
—
(i)任何其它公司,而该等公司为其附属公司或控股公司或其控股公司的附属公司,或该公司及/或上文所指的其它公司(一家或多家)直接或间接拥有股本权益的公司,而他们所合共拥有的股本权益足以让他们在股东大会上行使或控制行使30%(或《收购守则》不时规定会触发强制性公开要约所需的其它百分比)或30%以上的投票权,或足以让他们控制董事会大部份成员;
(i)anyothercompanywhichisitssubsidiaryorholdingcompanyorisafellowsubsidiaryofanysuchholdingcompanyoroneintheequitycapitalofwhichitand/orsuchothercompanyorcompaniestakentogetheraredirectlyorindirectlyinterestedsoastoexerciseorcontroltheexerciseof30%(orsuchotheramountasmayfromtimetotimebespecifiedintheTakeoversCodeasbeingthelevelfortriggeringamandatorygeneraloffer)ormoreofthevotingpoweratgeneralmeetings,ortocontrolthecompositionofamajorityoftheboardofdirectors;
(ii)以该公司为受益人(或如属全权信托,以该公司所知是全权托管的对象)的任何信托中,具有受托人身份的受托人;以及受托人以其受托人身份直接或间接拥有股权的任何公司(“受托人所控制的公司”),而受托人所拥有的股权足以让其可在股东大会上行使或控制行使30%(或《收购守则》不时规定会触发强制性公开要约所需的其它百分比)或30%以上的表决权,或足以让其控制董事会大部分成员,以及上述公司的任何附属公司(统称为“受托人权益”);
(ii)thetrustees,actingintheircapacityassuchtrustees,ofanytrustofwhichthecompanyisabeneficiaryor,inthecaseofadiscretionarytrust,is(tothecompany’sknowledge)adiscretionaryobjectandanycompany(“trusteecontrolledcompany”)intheequitycapitalofwhichthetrustees,actingintheircapacityassuchtrustees,aredirectlyorindirectlyinterestedsoastoexerciseorcontroltheexerciseof30%(orsuchotheramountasmayfromtimetotimebespecifiedintheTakeoversCodeasbeingthelevelfortriggeringamandatorygeneraloffer)ormoreofthevotingpoweratgeneralmeetings,ortocontrolthecompositionofamajorityoftheboardofdirectorsandanyothercompanywhichisitssubsidiary(together,the“trusteeinterests”);
(iii)受托人所控制的公司的控股公司,或任何此等控股公司的附属公司;及
(iii)aholdingcompanyofatrustee-controlledcompanyorasubsidiaryofanysuchholdingcompany;and
(iv)该公司、上述(b)(i)项所述任何其它公司、上述(b)(ii)项所述的受托人以其受托人的身份,及/或任何受托权益直接或间接拥有股本权益的任何公司,而他们所合共拥有的股本权益足以让他们在股东大会上行使或控制行使30%(或《收购守则》不时规定会触发强制性公开要约所需的其它百分比)或30%以上的投票权,或足以让他们控制董事会大部份成员,以及上述公司的任何附属公司或控股公司或其控股公司的附属公司
(iv)anyothercompanyintheequitycapitalofwhichthecompany,suchothercompaniesreferredtoin(b)(i)above,anyofthetrusteesreferredtoin(b)(ii)above,actingintheircapacityassuchtrustees,and/oranytrusteeintereststakentogetheraredirectlyorindirectlyinterestedsoastoexerciseorcontroltheexerciseof30%(orsuchotheramountasmayfromtimetotimebespecifiedintheTakeoversCodeasbeingthelevelfortriggeringamandatorygeneraloffer)ormoreofthevotingpoweratgeneralmeetings,ortocontrolthecompositionofamajorityoftheboardofdirectorsandanyothercompanywhichisitssubsidiaryorholdingcompanyorafellowsubsidiaryofanysuchholdingcompany
附注
(1)就关连交易而言,本定义须按《上市规则》第14A.11及14A.12条规定作出修订。
Notes
(1)Thisdefinitionismodifiedinthecontextofconnectedtransactionsbyvirtueofrules14A.11and14A.12.
(2)如属中国发行人,而就其发起人、董事、监事、最高行政人员及主要股东而言,本定义须按《上市规则》第19A.04条加以修订。
(2)InthecaseofaPRCissuer,itspromoters,directors,supervisors,chiefexecutiveandsubstantialshareholders,thedefinitionisamendedtohavethesamemeaningasinrule19A.04.
“授权代表”(authorisedrepresentative)指上市发行人根据《上市规则》第3.05条所委任为授权代表的人士
“authorisedrepresentative”apersonappointedasanauthorisedrepresentativebyalistedissuerunderrule3.05
“银行”(bank)指根据《银行业条例》领有牌照的银行,或在香港以外地区注册或成立的银行,而银行监理专员认为该银行在其注册或成立的地方,已受到当地认可的银行监管机关充份监管
“bank”abanklicensedundertheBankingOrdinanceorabankincorporatedorotherwiseestablishedoutsideHongKongwhichis,intheopinionoftheCommissionerofBanking,adequatelysupervisedbyanappropriaterecognisedbankingsupervisoryauthorityintheplacewhereitisincorporatedorotherwiseestablished
“不记名证券”(bearersecurities)指可转让予持票人的证券
“bearersecurities”securitiestransferabletobearer
“董事会”(Board)指根据章程选举或委任的本交易所董事会及(倘文意许可)其任何委员会或小组委员会
“Board”theDirectorsoftheExchangeelectedorappointedinaccordancewiththeArticlesand,wherethecontextsopermits,anycommitteeorsub-committeethereof
“营业日”(businessday)指本交易所开市进行证券买卖的日子
“businessday”anydayonwhichtheExchangeisopenforthebusinessofdealinginsecurities
“中央结算系统”(CCASS)指由结算公司建立和营运的中央结算及交收系统
“CCASS”meanstheCentralClearingandSettlementSystemestablishedandoperatedbyHKSCC
“集体投资计划披露文件”(CISDisclosureDocument)涵义与第二十章相同
“CISDisclosureDocument”thesamemeaningasinChapter20
“集体投资计划营办人”(CISOperator)营办或管理集体投资计划的实体
“CISOperator”theentitywhichoperatesormanagestheCIS
“集体投资计划”(CIS)或(Colle