Complaint Form - Listing Matters

Reminder: This is solely for complaints relating to listing matters. For general enquiry, you may contact us through the Enquiry Hotline: (852) 2840 3330 or send your enquiry through Enquiry Form or info@hkex.com.hk.

1. Complainant’s details

Title

First name

Last Name

Address

Telephone Number

2. Nature of complaint

Please tick one or more boxes as appropriate:

Potential listing applicant relatedListed issuer related
New listing applicant relatedStructured products & fixed income related

3. Complaint details

Please provide the full names and particulars (e.g. address, phone number, email address, website, and stock code) of the parties against whom/which the complaint is made. Please note that if a complaint is not substantiated with sufficient details, the Exchange may be unable to take it forward.

Name of potential listing applicant, new listing applicant, listed issuer or structured product/ fixed income product (You may name more than one issuer, applicant or product)

Stock code of listed issuer (if applicable)

Other parties involved e.g. directors and substantial shareholders

Details of any alleged misconduct Please provide specific details of the events or subject matters indicating a possible breach of the Listing Rules or practices which undermine investor confidence in the markets.

4. Other details

(optional)

5. Actions you have taken

If you previously lodged a complaint with the Exchange, which is related to the current complaint, please provide the following information?

Date of previous complaint made

Reference number (if known)

If you have also lodged, or intend to lodge, this complaint with other regulators or authorities. please provide the relevant information below:

Date of complaint (if applicable)

Regulator / authority

Reference number(s) of your complaint (if any)

Result (if any)

6. Legal Notice

Hong Kong Exchanges and Clearing Ltd. (“HKEX”) makes available this electronic complaint form to allow you to raise concerns online relating to complaints on rules and regulations related to listing matters. Any report made via this electronic complaint form will be handled in accordance with the provisions set out under the general enquiries page on HKEX’s website: ( www.hkex.com.hk/Global/Exchange/Contact ) and as supplemented by this notice.

Information reported (including any personal data that you provide) will be used for analyses and may be transferred to authorised staff within relevant members of the HKEX Group established within or outside of Hong Kong, relevant external third parties (e.g. parties complained of and all related parties), auditors, counsel or other experts as well as to relevant authorities, regulators and agencies. Analyses may include, among other things, assessing whether the information reported indicates or substantiates any complaint, determining whether to proceed with an investigation into the reported matter and taking such follow-up actions as the HKEX Group may consider appropriate. For the purpose of this electronic complaint form, HKEX Group refers to HKEX, its Hong Kong and PRC-based subsidiaries and Singapore branches of its HKEX subsidiaries, Hong Kong Futures Exchange Limited and The Stock Exchange of Hong Kong Limited.

For more information on how the HKEX Group processes personal data please read the HKEX Group Privacy Policy Statement, available at www.hkex.com.hk/global/exchange/privacy-policy.

By submitting this electronic complaint form, you:

consent to the use, processing and/or transfer of your personal data in accordance with the HKEX Group Privacy Policy Statement and as supplemented herein;

consent that the Exchange does not need to obtain your consent again prior to disclosing your personal information to relevant external third parties including parties complained of and all related parties for the purpose of handling the complaint; and

confirm that the information provided in this electronic complaint form is true, complete and accurate.

If there are any discrepancies or ambiguity between the English language and the Traditional or Simplified Chinese language versions, the English language version will prevail.

Updated 23 Mar 2021

Complaint Form - Listing Matters

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