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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


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30
Apr 2024
Enforcement Bulletin April 2024
cover_202404
Red flags in loans and lending activities
27
Sep 2023
Enforcement Bulletin Sep 2023
cover_newsletter202309_e
Navigating conflicts of interest and duty through effective conflict management
20
Mar 2023
Enforcement Bulletin Mar 2023
202303
What constitutes good disclosure and the inadequacy of only giving a “partial truth”
17
Aug 2022
Enforcement Bulletin Aug 2022
202208
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
202202
A spotlight on internal controls including dispelling common misunderstandings of what is required
15
Jul 2021
Enforcement Bulletin Jul 2021
202107
Enhancements for the future of enforcement: Enforcement priorities for 2021 and beyond
04
Nov 2020
Enforcement Bulletin Nov 2020
202011
Focus on the director onboarding process with a view to better corporate governance
13
Mar 2020
Enforcement Bulletin Mar 2020
202003
How the Enforcement Department interacts with other regulatory agencies in Hong Kong
09
Aug 2019
Enforcement Bulletin Aug 2019
201908
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
201902
Obligations of listed issuers and directors when communicating with the Exchange
26
Jul 2018
Enforcement Bulletin Jul 2018
201807
“I relied on the Executive Directors” – roles and responsibilities of Non-Executive Directors
02
Feb 2018
Enforcement Bulletin Feb 2018
201802
Interview with Listing Committee Chairman Andrew Weir on importance of corporate governance
15
Jul 2017
Enforcement Bulletin Jul 2017
201707
New publication highlighting updated Enforcement themes and Listing Rule compliance observations