Hong Kong

SFC publishes review of SEHK’s performance in regulating listing matters

The Hong Kong Securities and Futures Commission (SFC) has released a report on its review of The Stock Exchange of Hong Kong Limited’s (SEHK) performance in its regulation of listing matters.

The report, which can be found on the SFC’s website, looked into the HKEX’s management of potential conflicts of interest and the interactions between the Listing Department and the HKEX business units in pre-IPO enquiries, the oversight of the Listing Department and the Listing Committee’s supervisory role, the Exchange’s handling of share option schemes, and the Exchange’s handling of complaints relating to listing applicants and listed issuers.

The report summarises the key findings and recommendations of the SFC 2019 review, and list the regulator’s findings which reference a number of areas, as described above.

To view the full report, please CLICK HERE.