The Legal & Regulatory Compliance Division (LRCD) is responsible for providing legal advisory services and for overseeing the regulatory compliance functions of HKEX. It is organised into the Legal Services Department (LSD), Regulatory Compliance Department (RCD) and the Chief Operating Officer Office (COO Office).
LSD advises on, amongst other things, the legality of projects undertaken by HKEX, the provisions of the rules for Exchanges and Clearing Houses, any litigation and arbitration involving any HKEX group entity, and the statutory and regulatory requirements applicable to operational matters of HKEX. RCD 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, RCD also develops, maintains and monitors internal compliance policies pertaining to staff ethics/code of conduct. The COO Office supports the Group General Counsel by driving key business initiatives and other divisional matters for LRCD.