Contact

1. General Enquiry

Hotline

You may contact us through the Enquiry Hotline. Please click here to view the services provided and how to access them.

Hotline No.: (852) 2840 3330

Mail / E-mail / Fax

You may send your enquiries, comments and complaints to us by mail, e-mail or fax.

Mailing Address:
General Enquiries
23/F, One Exchange Square
8 Connaught Place
Central
Hong Kong

Email Address: info@hkex.com.hk

Fax Number: (852) 2868 4084

We welcome investors' comments and enquiries as they give us valuable feedback and contribute to the continuing improvement of our markets. We will respond to your enquiries as soon as we can. Due to an overwhelming number of requests, we may not answer an enquiry if the answer is available on the HKEX website. All enquiries and complaints are treated in strict confidence, however, if circumstances require, we may need to disclose information to relevant authorities, regulators or agencies for further follow-up. We will seek the enquirer’s and complainant's consent before disclosing any personal information.

2. Complaints Relating to Listing Matters

For complaints relating to listed issuers, new listing applicants, structured products / fixed income products and/or on rules and regulations relating to listing matters, please send your complaints to us by using the following channels in order for us to handle your complaints more effectively:

Electronic System: [e-Complaint Form – Listing Matters]

Mailing address:

Attn: Head of Listing Operational Risk and Control
12/F, Two Exchange Square
8 Connaught Place
Central, Hong Kong

Email: ListingComplaints@hkex.com.hk

Fax Number: (852) 2295 3981

The Complaints Unit will not normally deal with verbal or anonymous complaints. However please contact the Complaints Unit by telephone on (852) 2840 3950 if the complainant has individual difficulties which might prevent him/her from making a written complaint. Please note that the conversation may be recorded.

For details on how we review complaints, please refer to “What is the Exchange’s policy on complaints?”, “What information do I need to provide in my complaint?”, and “How does the Exchange review my complaint?” under Frequently Asked Questions below.

3. Concerns on Conduct of HKEX, HKEX Employees and Directors

If you wish to make a complaint against HKEX, HKEX employees or directors in relation to improper or unethical behaviour, corruption, bribery, fraud, actual or potential non-compliance with laws or regulations or deliberate concealment of any of the above matters by these parties, please click here.

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.

Web Accessibility
If you have any questions or comments on web accessibility, please contact us by e-mail: ccmed@hkex.com.hk

Frequently Asked Questions

What is the Exchange’s policy on complaints?

We welcome feedback from investors as it contributes to the continuing improvement of our markets. Investors' submissions may alert us to breaches of our rules and regulations or practices which undermine investor confidence in our markets. However, there are issues which fall beyond our power and scope in regulating market participants and listed issuers. As a result, we cannot:

intervene or comment on commercial decisions of listed issuers;
compensate investors for their investment losses;
provide investment, legal or financial advice;
adjudicate commercial disputes; and
disclose confidential information obtained while performing the duty of the exchanges and clearing houses etc.

Furthermore, there are issues that are governed by the statutory regulator of the securities market, the Securities and Futures Commission (SFC) and are beyond our jurisdiction to follow up. These include matters relating to takeovers and acquisitions involving listed issuers, insider dealing, market manipulation and other issues governed by the statutes. The SFC is also responsible for matters relating to the financial resources and conduct of intermediaries including, Exchange Participants, as well as investigations and disciplinary matters concerning disputes between Exchange Participants and their clients.

What information do I need to provide in my complaint?

The Exchange can best review a complaint if it receives accurate and complete information from the complainant. The following information should be included in a written complaint so that we can properly and effectively address it:

Name of the party or parties involved, and where your complaint relates to listing matters, the name of the issuer or listing applicant, or individuals (e.g. directors, substantial shareholders) associated with either the issuer or listing applicant of which the complaint relates;
Details of any alleged breaches of our rules, regulations or practices which undermine investor confidence in our markets. Please include dates and parties involved, where relevant;
Copies of any documents that provide evidence that supports the complaint; and
Name, mailing address, email address and telephone number of the complainant.

We require solid information (substantiated with sufficient details) on the alleged wrongdoing before taking follow-up action. In addition, complainants should be prepared to answer follow-up questions from us. If we are not able to obtain the information we need, it creates difficulties for us to follow up on a complaint.

We discourage anonymous complaints or comments. Although anonymous complaints or comments will be noted, we may not be able to proceed with them further because we may need to contact the complainant to seek substantiation of the alleged matters, request clarification of facts or seek further information. Unsubstantiated and/or anonymous complaints will severely constrain the Exchange's ability to pursue the complaints.

How does the Exchange review my complaint?

We are committed to dealing with complaints quickly. However, the period of time required for following up on the complaints depends on the circumstances of each case.

We acknowledge receipt of complaints and review them for possible follow-up action. Complaints stemming from commercial disputes or containing elements of bad faith will not be pursued.

In confidence

All complaints will be treated in strict confidence although the Exchange may need to disclose information to other regulators and agencies to properly pursue the complaints. Such disclosures would however be made under the confidentiality provisions of the Securities and Futures Ordinance.

The Exchange may have to disclose details to the listed company to allow it to respond to the Exchange on the issues raised. The Exchange is mindful of the need to protect the identity of individual complainants and where circumstances allow and it is in its view appropriate the Exchange will discuss with the complainants the extent of disclosures it may need to make.

The Exchange adopts a risk based approach

The Exchange reviews and evaluates each complaint to determine what action to take. The Exchange will decide to take no further action on complaints. Typically these will be complaints which are anonymous or where insufficient or inaccurate contact details are provided. Other complaints may not be pursued because they appear groundless, are trivial, contain too few details or are unrelated to breaches of the Listing Rules or practices which undermine investor confidence in the markets. Complaints designed to pursue commercial disputes or which contain elements of bad faith will not be pursued.

Feedback

Upon receipt of a complaint the Exchange will issue an acknowledgement to the complainant.

It is the Exchange's general policy not to comment on individual companies, individuals, or cases. This policy enables the Exchange to conduct its enquiries and investigations on a confidential basis to preserve the integrity of its process as well as to protect listed companies and their directors against whom unfounded accusations may be made or where the Exchange determines that further regulatory action is not necessary or appropriate. In certain exceptional circumstances, it may be appropriate for the Exchange to comment about specific matters. The key reasons why the Exchange may adopt this approach are to maintain public confidence in the regulation of the market or to maintain a fair, orderly and informed market for the trading of securities; to protect investors; to prevent widespread malpractice; or, help the investigation process.

For these reasons and to ensure that the Exchange meets its statutory obligation to maintain confidentiality it will not respond to complainants with a detailed account of how their concerns have been addressed or what it has discovered during the process. The Exchange may however, to the extent permitted by law, inform complainants about the status of a case at appropriate times and may provide brief reasons when it closes a case without regulatory actions. Where the regulatory action the Exchange takes results in a public statement by either the Exchange or an issuer there will be greater transparency about the outcome.

How can investors participate in the Hong Kong securities and derivatives markets? How should they select a securities or derivatives dealer?

Investors need to trade Hong Kong securities and derivative products through Securities and Futures Commission (SFC) licensed persons or registered institutions. Investors may refer to the "Public Register of Licensed Persons and Registered Institutions" at the SFC website (www.sfc.hk) for the list of licensed persons and the regulated activities they are licensed to conduct.

If a licensed person or registered institution is an Exchange Participant, its trading facilities can have direct access to HKEX's trading facilities. A list of Exchange Participants is available at “Participant Information” of “Find a Partner” under “PRODUCTS” of the HKEX website.

When selecting a securities or futures company, investor should compare services and fees of different companies. Companies who provide in-depth research, investment advice or other value-added services may charge higher commissions than those which merely trade on behalf of clients. Some offer cash accounts only; others also manage discretionary accounts or margin accounts. Investors should weight their own investment and financial needs carefully before deciding on a securities or futures company and the type of accounts to be opened.

HKEX operates securities and derivatives markets that are open and free and welcomes the participation of investors from all over the world. However, overseas investors should comply with regulations governing overseas trading in their own countries or places of residence before trading in Hong Kong.

Journalists new to HKEX are encouraged to visit HKEX Group website to understand our corporate background, or our News Centres for news and announcements of our markets.

Journalists with enquiries may contact HKEX by email at ccmed@hkex.com.hk.

Frequently Asked Questions

What are the procedures for a visit to the Exchange Exhibition Hall?

Any group interested in visiting the Exchange Exhibition Hall during business hours on a weekday shall email its request to us by completing an Application Form and, also, providing us with a copy of business card at visit@hkex.com.hk. Such a visit request shall be submitted to us no less than three weeks before the intended date of the visit. A written confirmation will be sent to the relevant party if the application is accepted. The Application Form is available at the HKEX website at http://www.hkex.com.hk/Global/About/Visit-HKEX/Visit-the-Exchange-Exhibition-Hall?sc_lang=en.

In what way is the regulatory role of HKEX different from that of the Securities and Futures Commission?

The Securities and Futures Commission (SFC) is an independent statutory body responsible for regulating the market, safeguarding market integrity, and enforcing securities and futures market legislation. Parties regulated by the SFC include Hong Kong Exchanges and Clearing Limited (HKEX) and its subsidiaries (including the stock and futures exchanges and associated clearing houses), financial market intermediaries (namely securities dealers which include Exchange Participants; sponsors; share registrars; fund managers; and investment advisers) and investors.

The SFC’s statutory regulatory objectives are:

to maintain and promote the fairness, efficiency, competitiveness, transparency and orderliness of the securities and futures industry;
to promote understanding by the public of the operation and functioning of the securities and futures industry;
to provide protection for members of the public investing in or holding financial products;
to minimise crime and misconduct in the securities and futures industry;
to reduce systemic risks in the securities and futures industry; and
to assist the Financial Secretary in maintaining the financial stability of Hong Kong by taking appropriate steps in relation to the securities and futures industry.

Regulation of takeovers, share repurchases and privatisations, which may involve investor conduct, is also the responsibility of the SFC.

HKEX is the operator of Hong Kong’s central securities and derivatives marketplace and the front-line regulator of listed issuers (including listed companies). In this role, HKEX regulates listed issuers; administers listing, trading and clearing rules; and provides services at the wholesale level to customers of the exchanges and clearing houses, including issuers and intermediaries (namely investment banks or sponsors, securities and derivatives brokers, custodian banks and information vendors) who service investors directly. Services provided by the exchanges and clearing houses include trading, clearing and settlement, depository and nominee services, and information services.

For more SFC and HKEX regulatory information, please visit the SFC website at www.sfc.hk and the “How We Regulate” section under "Listing Regulations" of the HKEX website.

How does HKEX enforce the Listing Rules?

HKEX is the operator of the central securities and derivatives marketplace and the front-line regulator of listed issuers. HKEX carries out regulation of listed issuers and any relevant party in accordance with the Listing Rules. A listed company shall comply (and undertakes pursuant to its application for listing to comply) with the Listing Rules. Each director of a listed company is required to use his/her best endeavours to abide by the Listing Rules and procure the listed company’s compliance with the Listing Rules pursuant to a Director’s Undertaking.

HKEX’s regulatory functions in respect of listed companies are carried out by the Listing Division and the Listing Committee. Their responsibilities mainly include: (1) the formulation and administration of Listing Rules, which set out listing requirements for listing applicants and obligations of listed companies and the relevant parties; and (2) the impartial enforcement of the Listing Rules.

HKEX is committed to closely monitoring compliance with the Listing Rules. Measures include the monitoring of share price movements and media reports, and the vetting of important announcements and documents. Potential Listing Rule breaches are investigated by the Enforcement Department of the Listing Division and disciplinary actions may then be commenced against any relevant parties (including the listed company and any responsible individuals). Both listed companies and their directors have an obligation to cooperate with an investigation carried out by the Listing Division. In cases where the conduct may amount to possible breaches of law, the Listing Division will refer those cases to the appropriate law enforcement authority.

The “Listing Regulations” page on the HKEX website contains useful references including the Listing Rules and latest updates in the “Rules and Guidance” section and details and information about the Enforcement Department’s work and enforcement policy in the “Disciplinary & Enforcement” section.

What are the notable differences between the Hong Kong and Mainland securities markets?

The two markets differ in many aspects, including:

1.	The Hong Kong market is more international and has more institutional investors. Institutional investors from Hong Kong and overseas account for about 65 per cent of total turnover. As investors in different markets differ in their judgments about securities valuation and market prospects, investors should exercise prudence when participating in the Hong Kong securities market.
2.	The Hong Kong market offers greater product choices to cater for investors with different risk preferences. The products include equity securities, equity warrants, derivative warrants, Callable Bull/Bear Contracts, or CBBCs, Exchange Traded Funds, or ETFs, Real Estate Investment Trusts, or REITs, and debt securities.

The two markets also differ in trading arrangements, for example:

1.	The Mainland’s circuit breakers trigger the suspension of trading in shares of companies when their prices move beyond a certain limit. In the case of Hong Kong’s Volatility Control Mechanism (VCM), a five minute cooling-off period is triggered if the price of an applicable security deviates more than ±10% away from the last traded price five minutes ago. During the cooling-off period, trading is allowed within a pre-defined price band. Normal trading without restriction will resume after cooling-off period. VCM in the securities market is only applied on all Hang Seng Index and Hang Seng China Enterprise Index constituent stocks as well as only applicable to board lot order input during certain periods of the Continuous Trading Session. Hong Kong law forbids trading suspensions by Hong Kong’s stock exchange in the absence of orders given by the Securities and Futures Commission in consultation with Hong Kong's Financial Secretary.
2.	In Hong Kong, screens displaying quotations for stocks whose prices are rising are in green while those for stocks with falling prices are in red. The reverse applies on the Mainland, rising prices are shown in red and falling prices in green.
3.	Transactions in the Hong Kong market are usually denominated in Hong Kong dollars, while those in the Mainland are usually in renminbi.
4.	In Hong Kong, dealers may engage in day trades for clients, meaning securities may be sold on the same day they are purchased. On the Mainland, with a few exceptions like ETFs and warrants, securities must be credited into an account before they can be sold.
5.	In Hong Kong, the settlement cycle for securities settlement between the clearing house and brokers is T+2. However, all settlement arrangements between brokers and clients are commercial agreements between the two parties. Investors should check the arrangements with their brokers before entering into a transaction. For example, they should enquire if purchases require immediate payment and when proceeds from a share sale can be received. On Mainland, the settlement cycle for securities settlement is usually T+1. Moreover, investors are required to pay in full in advance for buy orders and to have sufficient securities in the custody of their brokers for sell orders.
6.	The Hong Kong securities market allows investors to hold physical certificates after purchases. Such practice is not allowed in the Mainland securities market.

Listed Issuers and Their Professionals

Listed companies can contact their case officers in the Listing Division’s Listed Issuer Regulation Department for enquiries. Please click here for the contact details.

For enquiries about e-Submission System, publication related and registration matters, please contact us via Tel: (852) 2840 3460 or email: ESSHotline@hkex.com.hk.

Potential Issuers and Their Professionals

If the issuer and its Sponsor have queries regarding the interpretation of the Listing Rules, the Sponsor or the issuer may contact the IPO Transaction Teams of the Listing Division to seek further guidance.

Contacts persons for Pre-IPO enquiry and IPO processing contact persons

Companies interested in becoming an issuer on the HKEX market please contact our Global Issuer Services.

Email: im@hkex.com.hk

Companies which are located in the Mainland may contact our Mainland representatives.

Beijing Representative Office
Address: Unit 902-903, 9/F, Winland IFC, 7 Financial Street, Xicheng District, Beijing 100033, China
Tel: (8610) 8519 0288
Fax: (8610) 8519 0299
Email: bjo@hkex.com.hk

Shanghai Special Representative
Address: Unit 1807-08, Tower 1, Century Link Tower, 1198 Century Avenue, Pudong, Shanghai 200135, China
Tel: (86)21 6058 6130
Fax: (86)21 6087 5762

Exchange and Clearing House Participants can contact us through the following channels:

Trading Rights and Participantship

General Enquiries Tel: (852) 2840 3626 Email: trd@hkex.com.hk

Securities Market

Trading
General Enquiries Tel: (852) 2840 3626 Email: otpc@hkex.com.hk
Technical Tel: (852) 2840 3351 Email: bsssupport@hkex.com.hk

Clearing
General Enquiries Tel: (852) 2979 7111 Email: clearingps@hkex.com.hk
China Connect Tel: (852) 2979 7123 Email: clg@hkex.com.hk
Technical Tel: (852) 2211 6606

Derivatives Market

Trading
General Enquiries Tel: (852) 2211 6360 Email: hkatssupport@hkex.com.hk

Clearing
General Enquiries Tel: (852) 2979 7222 Email: clearingpsd@hkex.com.hk

Hosting Services

General Enquiries Tel: (852) 2211 6447 Email: hssales@hkex.com.hk

Frequently Asked Questions

What are the trading hours of the securities market?

Trading in the securities market is conducted on Monday to Friday (except public holidays) at the following times:

Auction Session
Pre-opening Session	9:00 am to 9:30 am

Continuous Trading Session
Morning Session	9:30 am to 12:00 noon
Extended Morning Session	12:00 noon to 1:00 pm
Afternoon Session	1:00 pm to 4:00 pm

Auction Session	4:00 pm to a random closing between 4:08 pm and 4:10 pm
Closing Auction Session	4:00 pm to a random closing between 4:08 pm and 4:10 pm

There is no Extended Morning Session and Afternoon Session on the eves of Christmas, New Year and Lunar New Year.

What is CCASS/3?

CCASS/3 stands for Central Clearing and Settlement System (also known as CCASS) which is a computerised securities clearing and settlement system developed and operated by Hong Kong Securities Clearing Company Limited (HKSCC).It provides browser based user interface via CCASS/3 Terminal (also known as C3T), straight-through-processing with direct linkage via Participant Gateway (PG) to facilitate CCASS Participants day-to-day operations. Clearing Participants (CPs) can also access risk functions via VaR Platform, please refer to the VaR Platform related FAQ for details.

What is DCASS?

DCASS stands for Derivatives Clearing and Settlement System which serves as a single clearing and settlement system for both the HKFE Clearing Corporation Limited (HKCC) and The SEHK Options Clearing House Limited (SEOCH).

DCASS shares the same platform and infrastructure with the derivatives trading system, HKATS. HKATS and DCASS form the integrated trading and clearing system for the derivatives markets of HKEX.

What are the products available for trading in AHT?

MSCI Taiwan (USD) Futures, MSCI Taiwan 25/50 (USD) Futures, Hang Seng Index Futures, Hang Seng China Enterprises Index Futures, Mini-Hang Seng Index Futures, Mini-Hang Seng China Enterprises Index Futures, Hang Seng Index Options, Hang Seng China Enterprises Index Options, Hang Seng Index Futures Options, Hang Seng China Enterprises Index Futures Options, Mini- Hang Seng Index Options ,Mini-Hang Seng China Enterprises Index Options , Weekly Hang Seng Index Options, Weekly Hang Seng China Enterprises Index Options, Hang Seng Index Total Return Index Futures, Hang Seng China Enterprises Index Total Return Index Futures, Hang Seng TECH Index Futures Hang Seng TECH Index Option, Hang Seng TECH Index Futures Options, CNH London Metal Mini Futures, USD London Metal Mini Futures, CNH Gold Futures, USD Gold Futures, CNH Silver Futures, USD Silver Futures, Iron Ore Futures, MSCI Vietnam (USD) Index Futures, MSCI Philippines (USD) Index Futures, MSCI China (USD) Index Futures, MSCI China A 50 Connect (USD) Index Futures, Currency Futures & MSCI Late Close Contracts #are available for trading in AHT.

# https://www.hkex.com.hk/-/media/HKEX-Market/Services/Circulars-and-Notices/Participant-and-Members-Circulars/HKFE/2022/MO_DT_282_22_e.pdf

For enquires about HKEX data products or the application of vendor licences for redistribution of market data and issuer announcements, please refer to the Market Data Services page or contact the Market Data Department via email: marketdata@hkex.com.hk.

Frequently Asked Questions

For matters about shareholding, such as share transfer and registration, change of name or address, loss of share certificates or dividend warrants, HKEX's registered shareholders can contact:

Hong Kong Registrars Limited
Address: Shops 1712-1716, 17th Floor, Hopewell Centre, 183 Queen's Road East, Wanchai, Hong Kong
Tel: (852) 2862 8555
Fax: (852) 2865 0990 / (852) 2529 6087

Corporate Communications materials requests

Registered shareholders can notify us of (a) any change in their choice of language or means of receipt of HKEX's Corporate Communications or (b) any request to receive HKEX's Corporate Communications in printed form, by completing a request form. They may email their requests to hkex.ecom@computershare.com.hk or in writing to Hong Kong Registrars Limited, HKEX's share registrar (Address: 17M Floor, Hopewell Centre, 183 Queen's Road East, Wanchai, Hong Kong).

Note: For shareholders whose shares are held through brokers or custodians, they have to inform their respective brokers or custodians if they want to receive HKEX's Corporate Communications.

Please click here to know more about corporate communications materials requests.

Other Enquiries or Requests from Investors of HKEX

HKEX investors can contact General Enquiries & Complaints if they have enquiries or requests other than the above.

Address: 23/F, One Exchange Square, 8 Connaught Place, Central, Hong Kong
Email: info@hkex.com.hk
Fax: (852) 2868 4084
Tel: (852) 2840 3330

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