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1. • • This includes HKEX-generated regulatory information on companies listed on the Main Board and GEM, such as status reports on delisting proceedings and suspensions, prolonged suspension status reports and listing enforcement notices/announcements.
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2. 其他人也問了

   What is the HKEX compliance Bulletin?

   • The compliance bulletin provides useful guidance to market participants on HKEX rules and regulations through highlighting recent updates, compliance issues and good practices adopted by the industry, as well as outlining HKEX expectation that may assist market participants to achieve compliance.

   HKEX Rule Enforcement

   www.hkex.com.hk/Services/Rules-and-Forms-and-Fees/HKEX-Rule-Enforcement-and-Disciplinary/HKEX-Rule-Enforcement?sc_lang=en

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   How can HKEX prevent and deter participants from non-compliance?

   • In a bid to prevent and deter participants from non-compliance with the relevant rules and regulations, HKEX will continue its effort in market communication and education in order to enhance the participants’ understanding of the relevant rules and regulations including conducting briefing sessions and issuing FAQs and circulars. 1.

   HKEX Rule Enforcement

   www.hkex.com.hk/Services/Rules-and-Forms-and-Fees/HKEX-Rule-Enforcement-and-Disciplinary/HKEX-Rule-Enforcement?sc_lang=en

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   How does HKEX work?

   • 1. Self-Attestation of Compliance Each participant will be required, on an annual basis, to complete and return a questionnaire in the form prescribed by HKEX, in which the participant is required to attest its compliance with the relevant rules and regulations (or a specific section thereof) during the relevant period.

   HKEX Rule Enforcement

   www.hkex.com.hk/Services/Rules-and-Forms-and-Fees/HKEX-Rule-Enforcement-and-Disciplinary/HKEX-Rule-Enforcement?sc_lang=en

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   What is HKEX's disciplinary policy?

   • HKEX will continue its effort to address any deficiencies and incidents of non-compliance by participants identified through various rectification measures and may commence disciplinary actions against participants in accordance with the relevant rules and regulations.

   HKEX Rule Enforcement

   www.hkex.com.hk/Services/Rules-and-Forms-and-Fees/HKEX-Rule-Enforcement-and-Disciplinary/HKEX-Rule-Enforcement?sc_lang=en

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3. www.hkex.com.hk › Services › Rules-and-Forms-and-FeesHKEX Rule Enforcement

   www.hkex.com.hk › Services › Rules-and-Forms-and-Fees

   • 網頁紀錄

   2024年5月24日 · Compliance Bulletin. The compliance bulletin provides useful guidance to market participants on HKEX rules and regulations through highlighting recent updates, compliance issues and good practices adopted by the industry, as well as outlining HKEX expectation that may assist market participants to achieve compliance.

   • 简

     港交所的執法框架包括：(i) 防範、(ii) 偵測，及(iii) 糾正 ...

   • Enforcement Bulletin

     Enforcement Bulletin Feb 2022. A spotlight on internal ...

   • Overview

     16 May 2024. Exchange’s Disciplinary Action ...

4. www.hkex.com.hk › - › mediaEnforcement Bulletin - HKEX

   www.hkex.com.hk › - › media

   Guidance on internal controls 3 Enforcement Bulletin February 2022 It is well known that every issuer’s business and circumstances will be different, and so there can be no “one-size-fits-all” approach to internal controls, or universal checklist. But there are several

5. www.hkex.com.hk › Listing › Rules-and-GuidanceWhat's New - HKEX

   www.hkex.com.hk › Listing › Rules-and-Guidance

   • 網頁紀錄

   What's New. This section contains hyperlinks to materials published under “Listing - Rules and Guidance” in the last 6 months. Release Date (dd/mm/yyyy) Particulars. Section. 24/05/2024. Publication of preview version of revised Next Day Disclosure Return and Monthly Return e-Forms.

6. www.hkex.com.hk › - › media通告 CIRCULAR - HKEX

   www.hkex.com.hk › - › media

   Compliance Bulletin (Issue No. 4) – Block Trade Execution and Large Open Position (“LOP”) Reporting Procedures for Derivatives Holiday Trading . Block Trade: surveillance@hkex.com.hk. LOP reporting procedures: lophkfe@hkex.com.hk.

7. www.hkex.com.hk › 2021 › 2021-Q4-Compliance-Bulletin-(Eng)通告 CIRCULAR - HKEX

   www.hkex.com.hk › 2021 › 2021-Q4-Compliance-Bulletin-(Eng)

   COMPLIANCE BULLETIN. Issue No. 2. HKEX. Market Surveillance and Monitoring. December 2021.