Market Turnover
-
-
-
|
|
|
|
|
|
-
-
-
繁
简
About HKEX
About HKEX
Investor Relations
Corporate Governance
CSR
Media Centre
Careers
Related Sites: LME
HKEX Group
LME
Bond Connect
QME
HKEXnews
GEM
CESC
Sustainable & Green Exchange (STAGE)
Client Connect
Latest Market Data
Our Products
Securities
Equities
Exchange Traded Products
Structured Products
Real Estate Investment Trusts
Debt Securities
Listed Derivatives
Equity Index
Single Stock
Foreign Exchange
Interest Rate
Commodities
OTC Derivatives
Eligible OTC Clear Products
Interest Rate Swaps
Non Deliverable Forwards
Cross Currency Swaps
Deliverable FX
Find a Partner
MSCI Index Futures & Options
HKEX Sustainable & Green Exchange
Our Services
Trading
Securities
Overview
Infrastructure
Derivatives
Overview
Infrastructure
Connectivity
Hosting Services
SDNet/2
Market Data Services
Real Time Data Services
Historical Data Services
Infrastructure
Rules, Forms & Fees
Rules
Forms
Fees
Clearing
Securities
Overview
Infrastructure
Risk Management
CCP Disclosures
Listed Derivatives
Overview
Infrastructure
Risk Management
CCP Disclosures
OTC Clear
Overview
Infrastructure
Risk Management
CCP Disclosures
Settlement and Depository
Settlement - Securities
Depository
Common Nominee Services
Securities Admission into CCASS
PFMI
Unclaimed Entitlements Held by HKSCC Nominees Limited
Uncertificated Securities Market
Platform Services
Client Connect
Corporate Action Messaging Standardisation
FINI - A New Era for Hong Kong’s IPO market
Circulars & Notices
Become a Participant
HKEX Connect Hall
Join Our Markets
IPO
Listing with HKEX
GEM
Northbound and Southbound
Stock Connect
Bond Connect
Commodities
LME
QME
Sustainable Finance
Sustainable & Green Exchange (STAGE)
Core Climate
IR Connect
Listing of Specialist Technology Companies
Core Climate
Listing Regulations
How We Regulate
Overview
Listing Newsletters
Listing Committee
Listing Review Committee
Listing Policy Panel Report
Rules and Guidance
Listing Rules
Interpretation and Guidance
Listing of Overseas Issuers
Listing of Biotech Companies
Listing of Specialist Technology Companies
Launch of FINI platform
Expansion of the Paperless Listing Regime
Listing e-Forms Guidance Materials
IPO
Application Proof, PHIP and Related Materials
New Listing Information
Listing Matters regarding Sponsor Regulation and Intermediaries Regulation
Other Materials
e-Learning
Listed Issuers
Issuers' Continuing Obligations & Annual Listing Fees
Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters
e-Learning
Current topics
Exchange's Reports
Structured Products
Products and Issuers' Information
Guidance
Debt Securities
Summary of Listing Requirements for Debt Issues to Professional Investors Only
Guidance
Disciplinary & Enforcement
Overview
Disciplinary Procedures
Enforcement Guidance Materials
Disciplinary Sanctions
Enforcement Bulletin
Enforcement Statistics
Request for Assistance
Sustainability & Corporate Governance
ESG Academy
Board Diversity Hub
Corporate Governance Practices
INED Corner
What's New
Listing Newsletters
Contact Us / Make a Complaint
News Centre
Corporate News Releases
Regulatory Announcements
Market Communications
Market Consultations
News Centre
HKEX Calendar
Research Reports
Connect Programmes
Connect Hub
Stock Connect
Bond Connect
Swap Connect
Daily Statistics
Market Highlights
Eligible Securities
Market Data
Stock Quote Lookup
Securities Prices
Equities
Exchange Traded Products
Derivative Warrants
Inline Warrants
Callable Bull / Bear Contracts
Real Estate Investment Trusts
Debt Securities
Futures & Options Prices
Equity Index
Single Stock
Foreign Exchange
Interest Rate
Commodities
Statistics
Consolidated Reports
Securities Market
Derivatives Market
Participant
Clearing, Settlement and Depository
HKEXnews
News Alerts
Market Data Services
About HKEX
About HKEX
Investor Relations
Corporate Governance
CSR
Media Centre
Careers
Related Sites: LME
HKEX Group
LME
Bond Connect
QME
HKEXnews
GEM
CESC
Sustainable & Green Exchange (STAGE)
Client Connect
繁
简
Our
Products
Securities
Equities
Exchange Traded Products
Structured Products
Real Estate Investment Trusts
Debt Securities
Listed Derivatives
Equity Index
Single Stock
Foreign Exchange
Interest Rate
Commodities
OTC Derivatives
Eligible OTC Clear Products
Interest Rate Swaps
Non Deliverable Forwards
Cross Currency Swaps
Deliverable FX
Find a Partner
Search our directory to find brokers, clearing members, information vendors and more
MSCI Index Futures & Options
HKEX launched 39 MSCI equity index futures and options contracts
HKEX Sustainable & Green Exchange
Collaborating on sustainable finance amongst our stakeholders
Our
Services
Trading
Securities
Overview
Infrastructure
Derivatives
Overview
Infrastructure
Connectivity
Hosting Services
SDNet/2
Market Data Services
Real Time Data Services
Historical Data Services
Infrastructure
Rules, Forms & Fees
Rules
Forms
Fees
Clearing
Securities
Overview
Infrastructure
Risk Management
CCP Disclosures
Listed Derivatives
Overview
Infrastructure
Risk Management
CCP Disclosures
OTC Clear
Overview
Infrastructure
Risk Management
CCP Disclosures
Settlement and Depository
Settlement - Securities
Depository
Common Nominee Services
Securities Admission into CCASS
PFMI
Unclaimed Entitlements Held by HKSCC Nominees Limited
Uncertificated Securities Market
Platform Services
Client Connect
Corporate Action Messaging Standardisation
FINI - A New Era for Hong Kong’s IPO market
Circulars & Notices
View important information issued by HKEX to Exchange and Clearing House Participants, Market Data vendors and Hosting Services members
Become a Participant
Connect to Hong Kong’s financial market through HKEX
HKEX Connect Hall
A centrally-located venue at the heart of Hong Kong financial hub, the HKEX Connect Hall is an iconic venue for Hong Kong’s financial community.
Join
Our Markets
IPO
Listing with HKEX
GEM
Northbound and Southbound
Stock Connect
Bond Connect
Commodities
LME
QME
Sustainable Finance
Sustainable & Green Exchange (STAGE)
Core Climate
IR Connect
The Future of Investor Relations
Listing of Specialist Technology Companies
A new listing pathway for Specialist Technology Companies.
Core Climate
The new carbon marketplace from HKEX
Listing
Regulations
How We Regulate
Overview
Listing Newsletters
Listing Committee
Listing Review Committee
Listing Policy Panel Report
Rules and Guidance
Listing Rules
Interpretation and Guidance
Listing of Overseas Issuers
Listing of Biotech Companies
Listing of Specialist Technology Companies
Launch of FINI platform
Expansion of the Paperless Listing Regime
Listing e-Forms Guidance Materials
IPO
Application Proof, PHIP and Related Materials
New Listing Information
Listing Matters regarding Sponsor Regulation and Intermediaries Regulation
Other Materials
e-Learning
Listed Issuers
Issuers' Continuing Obligations & Annual Listing Fees
Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters
e-Learning
Current topics
Exchange's Reports
Structured Products
Products and Issuers' Information
Guidance
Debt Securities
Summary of Listing Requirements for Debt Issues to Professional Investors Only
Guidance
Disciplinary & Enforcement
Overview
Disciplinary Procedures
Enforcement Guidance Materials
Disciplinary Sanctions
Enforcement Bulletin
Enforcement Statistics
Request for Assistance
Sustainability & Corporate Governance
ESG Academy
Board Diversity Hub
Corporate Governance Practices
INED Corner
What's New
Latest regulatory information issued by Listing
Listing Newsletters
Bi-annual newsletters updating you on listing topics that we think will be of greatest interest to you
Contact Us / Make a Complaint
Get in touch with our Listing Division
News
centre
Corporate News Releases
Regulatory Announcements
Market Communications
Market Consultations
News Centre
Snapshot about HKEX latest news and information
HKEX Calendar
Download or subscribe to our calendar containing trading and clearing information, public holidays and more
Research Reports
Research and survey conducted by HKEX on its securities and derivatives markets and related topics
Connect
Programmes
Connect Hub
Stock Connect
Bond Connect
Swap Connect
Daily Statistics
Statistics on Shanghai and Shenzhen Connect updated daily
Market Highlights
View the market capitalization, number of listed companies and more in the Hong Kong, Shanghai and Shenzhen markets
Eligible Securities
A list of securities eligible for trading under Shanghai and Shenzhen Stock Connect
Market
Data
Securities Prices
Equities
Exchange Traded Products
Derivative Warrants
Inline Warrants
Callable Bull / Bear Contracts
Real Estate Investment Trusts
Debt Securities
Futures & Options Prices
Equity Index
Single Stock
Foreign Exchange
Interest Rate
Commodities
Statistics
Consolidated Reports
Securities Market
Derivatives Market
Participant
Clearing, Settlement and Depository
HKEXnews
View listed company announcements and more on the centralised platform for regulatory filings and disclosures
News Alerts
Sign up to receive company announcements or website updates by email
Market Data Services
Vendors can sign up to purchase wholesale market data from HKEX’s Market Data Services department
HKEX - Listing Regulations
How We Regulate
Rules and Guidance
IPO
Listed Issuers
Structured Products
Debt Securities
Disciplinary & Enforcement
Sustainability & Corporate Governance
Contact Us / Make a Complaint
Disciplinary & Enforcement
Overview
Disciplinary Procedures
Enforcement Guidance Materials
Disciplinary Sanctions
Disciplinary Sanctions from 2001 to 2017
Enforcement Bulletin
Enforcement Statistics
Request for Assistance
Enforcement Bulletin
Enforcement Bulletin
Enforcement Bulletin
Subscribe now!
Subscription Guide
Subscribe our News Alert service to receive email notification when we publish disciplinary sanctions, Enforcement Bulletins, and other updates relating to Disciplinary & Enforcement. Please create an account and select the following options under “HKEX Website Updates”:
2. Corporate News Releases | Regulatory Announcements | Market Communications
3. Updates to Rules and Guidance on Listing Matters
>
From
to
30
Apr 2024
Enforcement Bulletin April 2024
Red flags in loans and lending activities
27
Sep 2023
Enforcement Bulletin Sep 2023
Navigating conflicts of interest and duty through effective conflict management
20
Mar 2023
Enforcement Bulletin Mar 2023
What constitutes good disclosure and the inadequacy of only giving a “partial truth”
17
Aug 2022
Enforcement Bulletin Aug 2022
The importance of good record-keeping by issuers and company directors and how it may benefit them in our enforcement actions
04
Feb 2022
Enforcement Bulletin Feb 2022
A spotlight on internal controls including dispelling common misunderstandings of what is required
15
Jul 2021
Enforcement Bulletin Jul 2021
Enhancements for the future of enforcement: Enforcement priorities for 2021 and beyond
04
Nov 2020
Enforcement Bulletin Nov 2020
Focus on the director onboarding process with a view to better corporate governance
13
Mar 2020
Enforcement Bulletin Mar 2020
How the Enforcement Department interacts with other regulatory agencies in Hong Kong
09
Aug 2019
Enforcement Bulletin Aug 2019
Interview with Tom Butlin, Head of Enforcement of the Listing Department; new review structure relating to disciplinary matters
01
Feb 2019
Enforcement Bulletin Feb 2019
Obligations of listed issuers and directors when communicating with the Exchange
26
Jul 2018
Enforcement Bulletin Jul 2018
“I relied on the Executive Directors” – roles and responsibilities of Non-Executive Directors
02
Feb 2018
Enforcement Bulletin Feb 2018
Interview with Listing Committee Chairman Andrew Weir on importance of corporate governance
15
Jul 2017
Enforcement Bulletin Jul 2017
New publication highlighting updated Enforcement themes and Listing Rule compliance observations