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Listing and Regulatory Affairs

Updated: 03 Feb 2017

Head : Mr David GRAHAM

The Listing and Regulatory Affairs Division is responsible for overseeing the listing function, secretarial services and regulatory compliance functions across HKEX, including the regulatory compliance functions at the London Metal Exchange (LME) and LME Clear. It works with a close co-operation with Legal Services Division. It is organised into the following functions:

Listing

Listing is responsible for supervising the listing process, the ongoing compliance by issuers with their obligations under the Listing Rules, and ensuring those rules reflect best international practices. It is organised into eight functions. Please click here for more details.

Secretarial Services

Secretarial Services is responsible for providing company secretarial services for HKEX group of companies, ensuring HKEX is operating at the highest level of corporate governance and is in compliance with the relevant statutory and regulatory requirements, and pursuing the best corporate social responsibilities.

Regulatory Compliance

Regulatory Compliance seeks to ensure that HKEX and its regulated affiliates have adequate procedures to comply with their regulatory obligations under legislation and memoranda of understanding with regulators. Among other responsibilities, Regulatory Compliance provides an assessment of the adequacy of such procedures that is independent of HKEX business lines and leads or facilitates the self-assessments and on-site reviews performed at the request of HKEX regulators.

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