You may contact us through the Enquiry Hotline. Please click here to view the services provided and how to access them.
Hotline No.: (852) 2840 3330
2.Mail / E-mail / Fax
You may send your enquiries, comments and complaints to us by mail, e-mail or fax.
General Enquiries & Complaints
23/F, One Exchange Square
8 Connaught Place
Email Address: email@example.com
Fax Number: (852) 2868 4084
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.
We will respond to your enquiries as soon as we can. Due to an overwhelming number of requests, we may not answer an enquiry if the answer is available on the HKEX website. 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 any personal information.
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.
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.
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