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Listing and Regulatory Affairs

Updated: 11 Jul 2018

Head : Mr David GRAHAM

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


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.