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Effective corporate governance is foundational to creating a sustainable and successful business. Enhancing the quality of corporate governance amongst listed issuers and their boards is an important objective of the Exchange and is an area that we consistently seek to develop.

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Katherine Ng
Head of Listing, HKEX
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Our Focus.

Corporate Governance covers many topics, all of which play an important role in ensuring that an issuer is effectively managed with an appropriate system of risk management and internal controls supporting regulatory compliance, good business practices and sustainability.

Board and Directors.

The board and its directors are central to an issuer’s decision making and are pivotal in establishing good corporate governance, which enables the issuer to achieve long-term success. In discharging its responsibilities and implementing its plans, the board operates through specific board committees assisted by management (and other important internal functions of the issuer) and external professional advisers.

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Board Effectiveness.

An effective board is key to an issuer’s long-term success. The board’s ability to work effectively may be influenced by different factors, including: (i) whether the board leads by example and shapes the desired culture to support the company’s purpose, values and strategy; (ii) whether the board maintains the right mix of skills and qualifications for the pursuit of issuer’s strategic objectives; and (iii) whether the board actively engages with stakeholders to ensure constructive feedback is considered in the board’s decision-making.  

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Diversity.

Diversity is an important driver of board effectiveness and quality decision-making. A high-performance board should have an appropriate balance of skills, experience and diversity of perspectives. Issuers are encouraged to adopt an inclusive mindset and consider different aspects of diversity - including but not limited to gender, age, cultural and educational background, and professional experience.

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Risk Management & Internal Controls.

Risk management and internal controls are important safeguards that enable an issuer to achieve its operational, reporting and compliance objectives.  There is, however, no “one-size-fits-all” approach in terms of putting in place and maintaining an effective system of risk management and internal controls - each issuer has to first identify its strategic objectives, consider relevant risks to achieving these objectives and then create a system that is appropriate for the issuer’s individual risk profile and circumstances. As an issuer’s business, and its risk profile, may change over time, it should monitor its risk management and internal control systems on an ongoing basis and conduct periodic reviews of the systems’ effectiveness.  

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Our Rules and
Regulations.

We are committed to strengthening our position as a preferred global capital-raising venue of choice by advocating for strong corporate governance. We continuously review our Listing Rules and the Corporate Governance Code to ensure they reflect best practices and meet stakeholders’ expectations.

Links to the Corporate Governance Code and the FAQ are set out below.

Main Board Appendix C1  >

GEM Appendix C1  >

FAQ for Corporate Governance Code  >

Our Guidance
Materials.

The Exchange has developed training and published comprehensive guidance materials on a variety of corporate governance and related topics. External resources provide additional guidance on these subjects.