For Raising Concerns on Conduct of HKEX, HKEX Employees and Directors
HKEX is committed to achieving and maintaining the highest standards of openness, probity and accountability. HKEX has established multiple channels for external parties, including vendors and suppliers, to raise concerns in relation to the occurrence (or likely occurrence) of any of the events listed below (“Relevant Matters”) within HKEX, or which HKEX or its employees or directors are a party to:
- a failure to comply with any legal obligations or regulatory requirements;
- criminal offences, breach of civil law and miscarriage of justice;
- malpractice, impropriety or fraud relating to internal controls, accounting, auditing and financial matters;
- danger to the health and safety of any individual;
- damage to the environment;
- violation of rules or policies applicable within HKEX;
- improper conduct or unethical behaviour likely to prejudice the reputation or standing of HKEX;
- bribery or corruption; and/or
- deliberate concealment of any of the above.
If, however, your complaint relates to listed issuers, listing applicants, rules and regulations relating to listing matters or other matters, please refer to the appropriate communication channels on the Contact Page.
External parties may raise concerns about a Relevant Matter against HKEX, HKEX employees or directors by using the below channels.
(i) For raising concerns against HKEX, HKEX employees or directors other than the HKEX Group Chief Compliance Officer:
Online System: https://report.whistleb.com/en/txexekh ^
Email: whistleblowing@hkex.com.hk
Mailing address: Attn: HKEX Group Chief Compliance Officer
8/F, Two Exchange Square
8 Connaught Place
Central, Hong Kong*
(ii) For raising concerns against the HKEX Group Chief Compliance Officer only:
Online System: https://report.whistleb.com/en/txexekh ^
Email: whistleblowing_on_RCD_only@hkex.com.hk
Mailing address: Attn: HKEX Audit Committee Chairman
8/F, Two Exchange Square
8 Connaught Place
Central, Hong Kong*
Notes:
^ External parties should select the relevant "Create Message" button depending on the party(ies) against whom the disclosure is made.
* Mail should be sent in a sealed envelope marked "Strictly Private and Confidential - To be Opened by Addressee Only"
When raising a concern, external parties should provide sufficient case specific information so that investigations can be conducted effectively. Failure to provide clear and adequate information regarding a disclosure or a method of contact (unless the Online System is used) may delay or prevent an investigation into the disclosure.
Disclosures found to be fraudulent or malicious may result in action being taken by HKEX to recover any cost, loss or damage resulting from such disclosures.
Privacy Policy Statement
We are committed to protecting your privacy and personal data. By providing any personal data to us through this website or email addresses and reporting channels provided on this website, you are consenting to our use of your personal data as set out in this Privacy Policy Statement. The personal data collected is used to respond to your enquiries, complaints, comments and suggestions. Your personal data will not be used for any other purposes without your consent, unless such use is permitted or required by law. For more information on how HKEX manages your personal data, please view the HKEX Privacy Policy.
What information do I need to provide in my whistleblowing disclosure?
External parties should provide sufficient case specific information so that investigations can be conducted effectively. While anonymous complaints are permitted, you are encouraged to disclose your identity and contact details so that you can be contacted for further information, if necessary, and feedback on the complaints can be provided.
Can I make an anonymous whistleblowing disclosure?
While anonymous complaints are permitted, you are encouraged to disclose your identity and contact details so that you can be contacted for further information, if necessary, and feedback on the complaints can be provided. If you wish to make an anonymous whistleblowing disclosure against HKEX, HKEX employees or directors, you should use the online system as it allows you to report matters, communicate with the investigating party and check the status of the investigation securely, anonymously and confidentially.
How will you deal with my whistleblowing disclosure?
Genuine whistleblowing disclosures about relevant matters will be investigated promptly. If contact details are provided or the online system is used, we will acknowledge receipt of your disclosure. All whistleblowing disclosures will be treated confidentially. HKEX will not divulge your identity unless it is required by the relevant regulatory or enforcement authority.