Disciplinary Matters

The following overview is for reference only and is by no means an exhaustive list of the disciplinary powers that may be exercised by the relevant exchanges and/or clearing houses.  For all applicable rules, regulations and procedures relating to disciplinary matters, please visit Overview of Rules.

SEHK

• The Rules of the Exchange (including without limitation, Chapter 7 (Disciplinary) and the SEHK Disciplinary Procedures)
• The Option Trading Rules of the Stock Exchange (including without limitation, Chapter 8 (Disciplinary))

HKFE 

• The Rules, Regulations and Procedures of the Futures Exchange (including without limitation, Chapter VII (Disciplinary Matters))

HKSCC

• The General Rules of CCASS (including without limitation, Chapter 20 (Disciplinary Actions))
• The CCASS Operational Procedures (including without limitation, Section 20 (Disciplinary Action))

HKCC

• The Rules and Procedures of HKCC (including without limitation, Chapter V (Limits and Defaults))

SEOCH               

• The Options Clearing Rules of SEOCH (including without limitation, Chapter 8 (Disciplinary))

• Standard Penalty Offences (HKCC / HKSCC / SEOCH)