HKEx' 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 and Hong Kong Securities Clearing Company 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 can not:
- intervene or comment on commercial decisions of listed issuers
- compensate investors for their investment losses
- provide investment, legal or financial advice
- adjudicate commercial disputes
- disclose confidential information obtained while performing the duty of the exchanges and clearing houses.
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 related to takeovers and acquisitions involving listed issuers, insider dealing, market manipulation and other issues governed by the statues. 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.
To enable us to respond to your enquiries and follow up on your complaints more efficiently, please note and follow the procedures below when you contact us.
Procedures