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Disciplinary & Enforcement

The Enforcement Department of the Listing Division is responsible for enforcing the Listing Rules, including investigating possible breaches and implementing the appropriate regulatory response, through disciplinary action if necessary. On this page, you can find more about the Exchange’s enforcement policy and casework, our disciplinary sanctions, and other useful information and guidance materials relating to enforcement matters.

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Subscribe to the HKEX News Alert service to receive email notification when we publish new disciplinary sanctions, Enforcement Bulletins, and other updates relating to Disciplinary & Enforcement. Please create an account and select the following options under “HKEX Website Updates”:

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  • Updates to Rules and Guidance on Listing Matters
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Disciplinary Sanctions
Details of sanctions imposed by the Exchange after disciplinary action.
Enforcement Bulletin
Read our latest publication on Rule compliance and enforcement work.
Enforcement Statistics
Find the statistics about our casework and sanctions.
Request for Assistance
Contact us if you have any information about these persons.

Guidance Materials

Guidance materials in respect of enforcement of the Listing Rules

Enforcement Policy Statement >
Enforcement Sanctions Statement >
Statement on Settlement of Disciplinary Matters >
Guidance Note on Cooperation  >


Procedures applicable to disciplinary actions

Disciplinary Procedures – Listing Committee >
Disciplinary Procedures – Listing Review Committee >