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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 Enforcement Bulletin Enforcement Statistics Request for Assistance
Overview

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

Disciplinary
Procedures

Procedures applicable to disciplinary actions

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

News and Announcements

21 March 2023
 Exchange’s Disciplinary Action against the Former Chairman and Executive Director of Carnival Group International Holdings Limited (In Liquidation) (Stock Code: 996)
20 March 2023
 Publication of the Exchange’s Enforcement Bulletin
16 March 2023
 Exchange’s Disciplinary Action against Two Former Directors of Forgame Holdings Limited (Stock Code: 484)