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HKEX - Listing Regulations
How We Regulate Rules and Guidance IPO Listed Issuers Structured Products Debt Securities Disciplinary & Enforcement Sustainability 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 >

Disciplinary
Procedures

Procedures applicable to disciplinary actions

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

News and Announcements

19 Jan 2022 Exchange’s Disciplinary Action against Yihua Overseas Investment Ltd (delisted, previous debt Stock Code: 5293) and its Authorised Representative
12 Jan 2022 Exchange’s Disciplinary Action against TANSH Global Food Group Co., Ltd (Stock Code: 3666) and Two Former Directors
10 Jan 2022 Exchange’s Disciplinary Action against Samson Holding Ltd. (Stock Code: 531) and Ms Liu Yi-Mei, Executive Director and Deputy Chairman