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Post-Trade

Head : Mr Roland CHAI

The Post-Trade Division is responsible for the operations and business development of the securities, on-exchange derivatives and OTC derivatives clearing businesses of HKEX through the following functions:

On-Exchange & OTC Clearing 

On-Exchange & OTC Clearing is responsible for maintaining orderly, fair and expeditious clearing and settlement arrangements for the securities, on-exchange derivatives and OTC derivatives markets, providing central securities depository, custody and nominee services, admission of stocks and structured products, implementing strategic initiatives across the Post-Trade Division, and providing hotline and training services to investors and Clearing Participants.

Clearing Risk Management

Clearing Risk Management is responsible for monitoring and ensuring risks faced by the clearing houses as central counterparties are managed prudently, and upholding the integrity and safety of Hong Kong’s securities, on-exchange derivatives and OTC derivatives markets by developing, implementing and maintaining a comprehensive risk management framework. 

Post-trade Business Development

Post-trade Business Development is responsible for developing and incubating HKEX’s new post-trade business, and managing client relationship with various stakeholders and business partners to better serve the market.

OTC & FIC Business Development

OTC & FIC Business Development is responsible for expanding and growing HKEX’s clearing business for over-the-counter (OTC) derivatives and fixed income and currency (FIC) products, and managing relationships with various stakeholders.

Market Surveillance & Monitoring

Market Surveillance & Monitoring is responsible for monitoring the trading activities of Exchange Participants in cash and derivatives markets, as well as China Connect trading activities, and their compliance with rules and regulations, position limits and large open position reporting requirements in derivatives contracts and performing due diligence check on admission of market makers. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under China Connect.

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