Responses to Consultation Paper 
03/07/2015 
 

Consultation Paper on Proposal for Introduction of Volatility Control Mechanism in the Securities and Derivatives Markets and Closing Auction Session in the Securities Market

 

HKEx Exchange Participants (41 in total)

1.       

BNP Paribas Securities (Asia) Limited

2.       

Bright Smart Futures & Commodities Company Limited (submission provided in Chinese)

3.       

Bright Smart Securities International (H.K.) Limited (submission provided in Chinese)

4.       

Celestial Commodities Limited

5.       

Celestial Securities Limited

6.       

Chief Securities Limited / Chief Commodities Limited (submission provided in Chinese)

7.       

Citigroup Global Markets Asia Limited

8.       

Eclipse Options (HK) Limited

9.       

Hang Seng Securities Limited

10.   

I-Access Investors Limited

11.   

IMC Asia Pacific Limited

12.   

J.P. Morgan Broking (Hong Kong) Limited

13.   

Macquarie Capital Securities Limited

14.   

Optiver Trading Hong Kong Limited

The following HKEx Exchange Participant requested anonymity

15.   

Exchange Participant 1

16.   

Exchange Participant 2

17.   

Exchange Participant 3

18.   

Exchange Participant 4

19.   

Exchange Participant 5

20.   

Exchange Participant 6

21.   

Exchange Participant 7

22.   

Exchange Participant 8

23.   

Exchange Participant 9

24.   

Exchange Participant 10

25.   

Exchange Participant 11

26.   

Exchange Participant 12

27.   

Exchange Participant 13

28.   

Exchange Participant 14

29.   

Exchange Participant 15

30.   

Exchange Participant 16

31.   

Exchange Participant 17

32.   

Exchange Participant 18

33.   

Exchange Participant 19

34.   

Exchange Participant 20

35.   

Exchange Participant 21

36.   

Exchange Participant 22

37.   

Exchange Participant 23

38.   

Exchange Participant 24

39.   

Exchange Participant 25

 The following HKEx Exchange Participant requested non-disclosure

40.   

Exchange Participant 26 (requested non-disclosure)

41.   

Exchange Participant 27 (requested non-disclosure)

  

Asset Management Companies (15 in total)

42.   

Hang Seng Investment Management Limited

43.   

T. Rowe Price Hong Kong Limited

44.   

Vanguard Investments Hong Kong Limited

The following Asset Management Companies requested anonymity

45.   

Asset Management company 1

46.   

Asset Management company 2

47.   

Asset Management company 3

48.   

Asset Management company 4

49.   

Asset Management company 5

50.   

Asset Management company 6

51.   

Asset Management company 7

52.   

Asset Management company 8

53.   

Asset Management company 9

54.   

Asset Management company 10

55.   

Asset Management company 11

56.   

Asset Management company 12

 

Industry Associations and Key Market Representatives (10 in total)

57.

Alternative Investment Management Association Limited (AIMA)

58.   

Asia Securities Industry & Financial Markets Association

59.   

Hong Kong Investment Funds Association

60.   

Hong Kong Securities & Futures Professionals Association (submission provided in Chinese)

61.   

Hong Kong Securities Association (submission provided in Chinese)

62.   

Hong Kong Securities Professionals Association

63.   

Quorum 15 Limited

64.   

The Hong Kong Society of Financial Analysts

65.   

The Institute of Securities Dealers Limited (submission provided in Chinese)

66.   

Hon Christopher Cheung Wah-fung, SBS, JP (submission provided in Chinese)

  

Other Entities (5 in total)

The following other entities requested anonymity

67.   

Other Entity 1

68.   

Other Entity 2

69.   

Other Entity 3

70.   

Other Entity 4

71.   

Other Entity 5

 

Individuals (310 in total)

72.   

Chan Chau Yuen, Andy

73.   

Chan Chun Kin (submission provided in Chinese)

74.   

Chan Kwong Leung (submission provided in Chinese)

75.   

Chan Yik Kim (submission provided in Chinese)

76.   

Dr Sean Foley / Dr Tali Putnins

77.   

Lam Kwok Chong (submission provided in Chinese)

78.   

Lu Chun He (submission provided in Chinese)

79.   

Ms Chu (submission provided in Chinese)

80.   

Ng Yok Bor (submission provided in Chinese)

81.   

Sandy Chan (submission provided in Chinese)

82.   

Sui Ming Fai (submission provided in Chinese)

83.   

To Kam Ming (submission provided in Chinese)

84.   

Tong Hing Yuen (submission provided in Chinese)

85.   

Tsui S L (submission provided in Chinese)

86.   

Wong Hing Kans (submission provided in Chinese)

87.   

Wong Kwok Chi (submission provided in Chinese)

88.   

Yuen Suet Lin (submission provided in Chinese)

89.   

林達仁 (submission provided in Chinese)

90.   

徐可儀 (submission provided in Chinese)

91.   

陳凱君 (submission provided in Chinese)

92.   

蔡揮日 (submission provided in Chinese)

93.   

鄭敏 (submission provided in Chinese)

The following individuals requested anonymity

94.   

Individual 1 (submission provided in Chinese)

95.   

Individual 2 (submission provided in Chinese)

96.   

Individual 3 (submission provided in Chinese)

97.   

Individual 4 (submission provided in Chinese)

98.   

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99.   

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