Market Turnover
-






-
-
|
|
|
|
|
|
-
-
-
Loading

Whistleblowing

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 an External Whistleblowing Policy and 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 rule of conduct 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 Head of Regulatory Compliance:

              Electronic System:    https://report.whistleb.com/en/txexekh ^

              Email:                            whistleblowing@hkex.com.hk

              Mailing address:        Attn: HKEX Head of Regulatory Compliance
                                                      8/F, Two Exchange Square
                                                      8 Connaught Place
                                                      Central, Hong Kong*

    (ii)     For raising concerns against the HKEX Head of Regulatory Compliance only:

              Electronic 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. The disclosure must state clearly the reasons for the concerns and external parties must reasonably believe that:

  • their disclosure evidences one or more of the Relevant Matters happening in the past, happening now or likely to happen in the future; and
  • such event compromises the reputation and standing of HKEX and/or the interest of the HKEX’s shareholders, investors, customers and the investing public.

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 reports.


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 phone numbers 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.

 

FREQUENTLY ASKED QUESTIONS

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 electronic 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 electronic 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.

 


Updated 29 Jun 2021