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  • Hong Kong Capital Markets Update – Issue 4, August 2020

Hong Kong Capital Markets Update – Issue 4, August 2020

Hong Kong Capital Markets Update – Issue 4, August 2020

HKEX’s consultation on widening the range of reputational sanctions available, and to ensure that disciplinary action can be brought against relevant parties.

stock market trend

On 7 August 2020, the Stock Exchange of Hong Kong Limited (the Exchange) published a consultation paper seeking market views on proposed changes to the Listing Rules relating to disciplinary powers and sanctions. The deadline for submissions is 9 October 2020.

The Exchange aims to have available a spectrum of graduated sanctions, ranging from private reprimand, public statement involving criticism, public censure, other statements of concern in respect of an individual’s conduct, denial of facilities of the market, trading suspension to cancellation of listing. The Exchange also proposes to enhance certain existing sanctions to allow effective regulatory response to address different types of misconduct. To this end, particular emphasis has been placed on instances of misconduct by individuals in relation to a breach of the Listing Rules.

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© 2023 KPMG Huazhen LLP, a People's Republic of China partnership, KPMG Advisory (China) Limited, a limited liability company in Chinese Mainland, KPMG, a Macau (SAR) partnership, and KPMG, a Hong Kong (SAR) partnership, are member firms of the KPMG global organisation of independent member firms affiliated with KPMG International Limited, a private English company limited by guarantee. All rights reserved.

The KPMG name and logo are trademarks used
under license by the independent member firms of the KPMG global organisation.

For more detail about the structure of the KPMG global organisation please visit https://kpmg.com/governance.

京ICP备12028186号-1
京公网安备11010102003233号

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