Disciplinary Jurisdiction and Sanctions | Rulebook

Skip to main content

Building the
Marketplace of the Future

繁简

About HKEX

Investor Relations

Corporate Governance

Related Sites: LME

Sustainable & Green Exchange (STAGE)

Our Products

Securities

Exchange Traded Products

Structured Products

Real Estate Investment Trusts

Debt Securities

Listed Derivatives

Foreign Exchange

OTC Derivatives

Eligible OTC Clear Products

Interest Rate Swaps

Non Deliverable Forwards

Cross Currency Swaps

MSCI Index Futures & Options

HKEX Sustainable & Green Exchange

Our Services

Trading

Securities

Derivatives

Connectivity

Hosting Services

Market Data Services

Real Time Data Services

Historical Data Services

Rules, Forms & Fees

Clearing

Securities

Risk Management

CCP Disclosures

Listed Derivatives

Risk Management

CCP Disclosures

OTC Clear

Risk Management

CCP Disclosures

Settlement and Depository

Settlement - Securities

Common Nominee Services

Securities Admission into CCASS

Unclaimed Entitlements Held by HKSCC Nominees Limited

PLATFORM SERVICES

FINI: IPO settlement reform

Corporate Action Messaging Standardisation

Circulars & Notices

Become a Participant

HKEX Connect Hall

Join Our Markets

Listing with HKEX

Northbound and Southbound

Sustainable Finance

Sustainable & Green Exchange (STAGE)

Product Repository

Resources Library

IPO Express (Issue 5)

HKEX in Biotech (Jul 2021)

Listing Regulations

How We Regulate

Listing Newsletters

Listing Committee

Listing Review Committee

Listing Policy Panel Report

Rules and Guidance

Interpretation and Guidance

Corporate Governance Practices

Listing of Overseas Companies

Listing of Biotech Companies

Listing e-Forms

Application Proof, PHIP and Related Materials

New Listing Information

Listing Matters regarding Sponsor Regulation and Intermediaries Regulation

Listing Document Simplification Guide

Other Materials

Issuers' Continuing Obligations & Annual Listing Fees

Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters

Exchange's Reports

Structured Products

Products and Issuers' Information

Frequently Asked Questions

Liquidity Provision

Debt Securities

Summary of Listing Requirements for Debt Issues to Professional Investors Only

Frequently Asked Questions for Debt Issues to Professional Investors Only

Disciplinary & Enforcement

Disciplinary Procedures

Enforcement Guidance Materials

Disciplinary Sanctions

Enforcement Bulletin

Enforcement Statistics

Request for Assistance

Board Diversity & Inclusion in Focus

Listing Newsletters

Contact Us / Make a Complaint

News Centre

Corporate News Releases

Regulatory Announcements

Market Communications

Market Consultations

Research Reports

Connect Scheme

Daily Statistics

Market Highlights

Eligible Securities

Market Data

Stock Quote Lookup

Securities Prices

Exchange Traded Products

Derivative Warrants

Inline Warrants

Callable Bull / Bear Contracts

Real Estate Investment Trusts

Debt Securities

Futures & Options Prices

Foreign Exchange

Statistics

Consolidated Reports

Securities Market

Derivatives Market

Clearing, Settlement and Depository

Market Data Services

Building the
Marketplace of the Future

About HKEX
Related Sites: LME

繁简

Our
Products
- Securities
- Listed Derivatives
- OTC Derivatives
- Find a Partner
  Search our directory to find brokers, clearing members, information vendors and more
- MSCI Index Futures & Options
  HKEX launched 39 MSCI equity index futures and options contracts
- HKEX Sustainable & Green Exchange
  Collaborating on sustainable finance amongst our stakeholders
Our
Services
- Trading
  - Securities
    
    Overview
    
    Infrastructure
  - Derivatives
    
    Overview
    
    Infrastructure
- Connectivity
  - Hosting Services
  - SDNet/2
- Market Data Services
- Rules, Forms & Fees
  - Rules
  - Forms
  - Fees
- Clearing
  - Securities
    
    Overview
    
    Infrastructure
    
    Risk Management
    
    CCP Disclosures
  - Listed Derivatives
    
    Overview
    
    Infrastructure
    
    Risk Management
    
    CCP Disclosures
  - OTC Clear
    
    Overview
    
    Infrastructure
    
    Risk Management
    
    CCP Disclosures
- Settlement and Depository
- PLATFORM SERVICES
- Circulars & Notices
  
  View important information issued by HKEX to Exchange and Clearing House Participants, Market Data vendors and Hosting Services members
- Become a Participant
  Connect to Hong Kong’s financial market through HKEX
- HKEX Connect Hall
  A centrally-located venue at the heart of Hong Kong financial hub, the HKEX Connect Hall is an iconic venue for Hong Kong’s financial community.
Join
Our Markets
- IPO
  - Listing with HKEX
  - GEM
- Northbound and Southbound
  - Stock Connect
  - Bond Connect
- Commodities
  - LME
  - QME
- Sustainable Finance
  - Sustainable & Green Exchange (STAGE)
    
    Product Repository
    
    Resources Library
    
    News Centre
- IPO Express (Issue 5)
  A deeper and more diverse market
- HKEX in Biotech (Jul 2021)
  The next chapter: Hong Kong’s growing healthcare financing ecosystem
- Core Climate
  The new carbon marketplace from HKEX
Listing
Regulations
- What's New
  Latest regulatory information issued by Listing
- Listing Newsletters
  Bi-annual newsletters updating you on listing topics that we think will be of greatest interest to you
- Contact Us / Make a Complaint
  Get in touch with our Listing Division
News
centre
- Corporate News Releases
- Regulatory Announcements
- Market Communications
- Market Consultations
- News Centre
  
  Snapshot about HKEX latest news and information
- HKEX Calendar
  Download or subscribe to our calendar containing trading and clearing information, public holidays and more
- Research Reports
  
  Research and survey conducted by HKEX on its securities and derivatives markets and related topics
Connect
Scheme
- Daily Statistics
  
  Statistics on Shanghai and Shenzhen Connect updated daily
- Market Highlights
  View the market capitalization, number of listed companies and more in the Hong Kong, Shanghai and Shenzhen markets
- Eligible Securities
  
  A list of securities eligible for trading under Shanghai and Shenzhen Stock Connect
Market
Data
- Stock Quote Lookup
- Securities Prices
- Futures & Options Prices
- Statistics
- HKEXnews
  
  View listed company announcements and more on the centralised platform for regulatory filings and disclosures
- News Alerts
  Sign up to receive company announcements or website updates by email
- Market Data Services
  Vendors can sign up to purchase wholesale market data from HKEX’s Market Data Services department

Listing Regulations

Rules and Guidance

Rules and Guidance

Listing Rules and Guidance: Contents

Rules and Guidance
- Listing Rules
- Interpretation and Guidance

The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. Hyperlinked cross references are now available in the HTML versions.

In the case of discrepancies between HTML and PDF versions of the HKEX Rules, Interpretation and Guidance, the PDF version prevails.

Entire section

Custom print

Search

Breadcrumb

Home
Listing
Rules and Guidance
Listing Rules
Main Board Listing Rules
GENERAL
Chapter 2A Composition, Powers, Functions and Procedures of the Listing Committee, the Listing Review Committee and the Listing Division
Disciplinary Jurisdiction and Sanctions

View Current PDF

Versions

‹ 2A.08

2A.09 ›

Disciplinary Jurisdiction and Sanctions

2A.09
2A.10
2A.10A
2A.10B
2A.11
2A.12
2A.13
2A.14
2A.15

‹ 2A.08

2A.09 ›

Alert
Contact
Career
Tender Notices
FAQ
Investor Product Videos
Market System Status
Sitemap
Glossary
Disclaimer
Hyperlink Policy
Privacy Policy Statement
RSS

©2017-22 Hong Kong Exchanges and Clearing Limited. All rights reserved.