If you have any comments or queries regarding this website, please email to us at email@example.com.
Registered Office: 12/F., One International Finance Centre, 1 Harbour View Street, Central, Hong Kong
Tel: (852) 2522 1122
Fax: (852) 2295 3106
HKEX Representative Office in Beijing
Registered Office: Suite 1002, Level 10, Tower W2, The Towers, Oriental Plaza, No.1 East Chang An Avenue, Dong Cheng District, Beijing 100738, China
Tel: (8610) 8519 0288
Fax: (8610) 8518 3288
Public Enquiry and Feedback
We encourage investors to check the Investors page on the HKEX website particularly the Frequently Asked Questions section before submitting an enquiry because the information being sought is often available on our HKEX website.
To enable us to respond to your enquiries and follow up on your complaints more efficiently, please note HKEX's Policy in Handling Investor Enquiry and Complaint and refer to Notes for Enquirers and Complainants.
Complaints in relation to the Listing Rules and Regulations
The Stock Exchange of Hong Kong Limited (the Exchange), a wholly owned subsidiary of HKEX, is the frontline regulator of listed companies. The Exchange welcomes comments and enquiries from investors because investor complaints may alert the Exchange to serious breaches of the Listing Rules or practices which undermine investor confidence in the markets. Please click here to know more about filing a complaint on listing regulatory matters.
Investor Account Service
Investors interested in Investor Account Service please call (852) 2979 7000 or email to firstname.lastname@example.org.
Contacts for existing Investor Account holders:
IP CCASS Phone Operations Hotline: (852) 2979 7888
SSA CCASS Phone Operations Hotline: (852) 2979 7333
Media and Communications
Please see our News Media page.
For media enquiries, please contact the Corporate Communications via email: email@example.com.
Issuers and Their Professionals
Please see our Issuers and Listed Companies page.
Listed Issuers and Their Professionals
Listed companies can contact their case officers in the Listing Department’s Compliance & Monitoring Department for enquiries. Please click here for the contact details.
For enquiries about e-Submission System, publication related and registration matters, please contact us via Tel: (852) 2840 3460 or email: ESSHotline@hkex.com.hk.
Potential Issuers and Their Professionals
If the issuer and its Sponsor have queries regarding the interpretation of the Listing Rules, the Sponsor or the issuer may contact the IPO Transaction Teams of the Listing Department to seek further guidance.
Contacts persons for Pre-IPO enquiry and IPO processing contact persons
Companies interested in becoming an issuer on the HKEX market please contact our Issuer Marketing Division.
Companies which are located in the Mainland may contact our Mainland representatives.
Beijing Representative Office
Address: Suite 1002, Level 10, Tower W2, The Towers, Oriental Plaza, No.1 East Chang An Avenue, Dong Cheng District, Beijing 100738, China
Tel: (8610) 8519 0288
Fax: (8610) 8518 3288
Shanghai Special Representative
Address: Units 903-04, 9/F HSBC Building, Shanghai IFC, 8 Century Avenue, Pudong, Shanghai 200120, China
Tel: (86)21 6058 6130
Fax: (86)21 6087 5762
Guangzhou Special Representative
Address: Room 2503, HNA Tower, No 8 Linhezhong Road, Tianhe District, Guangzhou 510610, China
Tel: (86)20 8718 1000
Fax: (86)20 8550 1035
Exchange and Clearing House Participants
Please see our Exchange & Clearing House Participants page.
Exchange and Clearing House Participants can contact us through the following channels:
Trading Rights and Participantship
For enquires about HKEX data products or the application of vendor licences for redistribution of market data and issuer announcements, please refer to the Information Vendors page or contact the Market Data Department via email: firstname.lastname@example.org.
HKEX's Registrar and Transfer Office
For matters about shareholding, such as share transfer and registration, change of name or address, loss of share certificates or dividend warrants, HKEX's registered shareholders can contact:
Hong Kong Registrars Limited
Address: Shops 1712-1716, 17th Floor, Hopewell Centre, 183 Queen's Road East, Wanchai, Hong Kong
Tel: (852) 2862 8555
Fax: (852) 2865 0990 / (852) 2529 6087
Corporate Communications materials requests
Registered shareholders can notify us of (a) any change in their choice of language or means of receipt of HKEX's Corporate Communications or (b) any request to receive HKEX's Corporate Communications in printed form, by completing a request form. They may email their requests to email@example.com or in writing to Hong Kong Registrars Limited, HKEX's share registrar (Address: 17M Floor, Hopewell Centre, 183 Queen's Road East, Wanchai, Hong Kong).
Note: For shareholders whose shares are held through brokers or custodians, they have to inform their respective brokers or custodians if they want to receive HKEX's Corporate Communications.
Please click here to know more about corporate communications materials requests.
Other Enquiries or Requests from Investors of HKEX
HKEX investors can contact General Enquiries & Complaints if they have enquiries or requests other than the above.
Address: 23/F, One Exchange Square, 8 Connaught Place, Central, Hong Kong
Fax: (852) 2868 4084
Tel: (852) 2840 3330
Users of Exchange Exhibition Hall and Auditorium
Information about the Exchange Exhibition Hall and the Exchange Auditorium are available at Visit the Exchange Exhibition Hall and the Exchange Auditorium sections of the HKEX website.
Exchange Exhibition Hall
The Exchange Auditorium
Please refer to the Job Opportunities for current vacancies.
HKEX's Policy in Handling Investor Enquiry and Complaint
Hong Kong Exchanges and Clearing Limited (HKEX) is the publicly listed holding company of The Stock Exchange of Hong Kong Limited, Hong Kong Futures Exchange Limited, Hong Kong Securities Clearing Company Limited and OTC Clearing Hong Kong Limited. HKEX provides a comprehensive range of pre- and post-trade investment services as well as market information services.
The Stock Exchange operates two markets, the Main Board and the Growth Enterprise Market (GEM). As the frontline regulator of issuers listed on the Main Board and GEM, the Stock Exchange is responsible for monitoring and enforcing listed issuers' compliance with the Listing Rules. In addition, the Stock Exchange and the Futures Exchange are the respective regulators for Stock Exchange and Future Exchange Participants with respect to the enforcement of the trading rules. HKEX's clearing houses administer clearing house rules.
We welcome investors' comments and enquiries as they give us valuable feedback and contribute to the continuing improvement of our markets. Investors' submissions may also alert us to serious breaches of our rules and regulations or practices which undermine investor confidence in our markets. However, there are issues which fall beyond our power and scope in regulating market participants and listed issuers. As a result, we cannot:
- intervene or comment on commercial decisions of listed issuers;
- compensate investors for their investment losses;
- provide investment, legal or financial advice;
- adjudicate commercial disputes; and
- disclose confidential information obtained while performing the duty of the exchanges and clearing houses etc.
Furthermore, there are issues that are governed by the statutory regulator of the securities market, the Securities and Futures Commission (SFC) and are beyond our jurisdiction to follow up. These include matters relating to takeovers and acquisitions involving listed issuers, insider dealing, market manipulation and other issues governed by the statutes. The SFC is also responsible for matters relating to the financial resources and conduct of intermediaries including, Exchange Participants, as well as investigations and disciplinary matters concerning disputes between Exchange Participants and their clients.
Notes for Enquirers and Complainants
To enable us to respond to your enquiries or complaints more efficiently, please note the following when you contact us.
General enquiries, comments and complaints should be submitted in writing to help avoid miscommunication.
General Enquiries & Complaints
23/F, One Exchange Square
8 Connaught Place
Email Address: firstname.lastname@example.org
Fax Number: (852) 2868 4084
We will respond to your enquiries as soon as we can. If we need more time to gather information, we will send an interim reply to acknowledge receipt of the enquiry and report on the status of our efforts. Due to overwhelming requests, we may not answer an enquiry if the answer is available on the website.
If there are special circumstances which prevent an individual from writing to us, we can be contacted at (852) 2840 3330 (operating with an Interactive Voice Response telephone system). Please click here for the call flow.
All enquiries and complaints are treated in strict confidence. However, if circumstances require, we may need to disclose information to relevant authorities, regulators or agencies for further follow-up. We will seek the enquirer’s and complainant's consent before disclosing it. If such information is disclosed, it is subject to the confidentiality provisions of the Securities and Futures Ordinance or similar rules and regulations.
Filing a Complaint
The following information should be included in a written complaint so that we can properly and effectively address it:
- Name of the party or parties involved;
- Details of any alleged breaches of our rules, regulations or practices which undermine investor confidence in our markets;
- Copies of any documents that provide evidence that supports the complaint; and
- Name, mailing address, email address and telephone number of the complainant.
We require solid information on alleged wrongdoing before taking follow-up action. In addition, complainants should be prepared to answer follow-up questions from us. If we are not able to obtain the information we need, it creates difficulties for us to follow up on a complaint.
We discourage anonymous complaints or comments. Although anonymous complaints or comments will be noted, we may not be able to proceed with them further because we may need to contact the complainant to seek substantiation of the alleged matters.
We acknowledge receipt of complaints and review them for possible follow-up action. Complaints stemming from commercial disputes or containing elements of bad faith will not be pursued.
We are committed to dealing with complaints quickly. However, the period of time required for following up on the complaints depends on the circumstances of each case.
Complaints on rules and regulations related to listing matters
How to lodge a complaint
Investor should put his/her complaint in writing incorporating the details noted below and send it to:
11th Floor, One International Finance Centre
1 Harbour View Street
Or fax the information to: (852) 2295 3981.
The Exchange will not normally deal with verbal or anonymous complaints. However please contact the Exchange by telephone (852) 2840 3950 if complainant has individual difficulties which might prevent him/her from making a written complaint. Please note that the conversation may be recorded.
What information do we need
The Exchange can best review a complaint if it receives accurate and complete information from complainant. Critical information for the Exchange to properly evaluate investor complaint includes:
The name of the issuer or listing applicant, or individuals (e.g. directors, substantial shareholders) associated with either the issuer or listing applicant of which the complaint relates;
Specific and details of the events or subject matters indicating a breach of the Listing Rules or practices which undermine investor confidence in the markets. Please include dates and parties involved, where relevant;
Copies of any relevant documents providing evidence in support of the complaint, or details of any witness who will corroborate the complaint; and
Your name, mailing and email addresses and telephone numbers.
Please note that if complaints are not substantiated with sufficient details the Exchange may be unable to take them forward. If complainants do not provide their names and accurate contact details, the Exchange will not be able to request clarification of facts or seek further information. Again this will severely constrain the Exchange's ability to pursue the complaints.
How the Exchange will handle investor complaint
All complaints will be treated in strict confidence although the Exchange may need to disclose information to other regulators and agencies to properly pursue the complaints. Such disclosures would however be made under the confidentiality provisions of the Securities and Futures Ordinance.
The Exchange may have to disclose details to the listed company to allow it to respond to the Exchange on the issues raised. The Exchange is mindful of the need to protect the identity of individual complainants and where circumstances allow and it is in its view appropriate the Exchange will discuss with the complainants the extent of disclosures it may need to make.
The Exchange adopts a risk based approach
The Exchange reviews and evaluates each complaint to determine what action to take. The Exchange will decide to take no further action on complaints. Typically these will be complaints which are anonymous or where insufficient or inaccurate contact details are provided. Other complaints may not be pursued because they appear groundless, are trivial, contain too few details or are unrelated to serious breaches of the Listing Rules or practices which undermine investor confidence in the markets. Complaints designed to pursue commercial disputes or which contain elements of bad faith will not be pursued.
Upon receipt of a complaint the Exchange will issue an acknowledgement to the complainant.
It is the Exchange's general policy not to comment on individual companies, individuals, or cases. This policy enables the Exchange to conduct its enquiries and investigations on a confidential basis to preserve the integrity of its process as well as to protect listed companies and their directors against whom unfounded accusations may be made or where the Exchange determines that further regulatory action is not necessary or appropriate. In certain exceptional circumstances, it may be appropriate for the Exchange to comment about specific matters. The key reasons why the Exchange may adopt this approach are to maintain public confidence in the regulation of the market or to maintain a fair, orderly and informed market for the trading of securities; to protect investors; to prevent widespread malpractice; or, help the investigation process.
For these reasons and to ensure that the Exchange meets its statutory obligation to maintain confidentiality it will not respond to complainants with a detailed account of how their concerns have been addressed or what it has discovered during the process. The Exchange may however, to the extent permitted by law, inform complainants about the status of a case at appropriate times and may provide brief reasons when it closes a case without regulatory actions. Where the regulatory action the Exchange takes results in a public statement by either the Exchange or an issuer there will be greater transparency about the outcome.