Investor should put his/her complaint in writing incorporating the details noted below and send it to:
12/F, Two Exchange Square,
8 Connaught Place, Central,
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.