SM-ECO-10060 · Hong Kong

SM-ECO-10060sm-eco-10060.org/market/hk/

Hong Kong · hk-eco-10060

chapter hk.chapter.v10 · supersedes hk.chapter.v9 · as of 2026-10-31 · node hk-cm-kg · https://mcp.hk-cm-kg.ai/book/

7.2 The field element (every catalogue entry below is one of these)

Appendix A · ECO market section

ECO · hk.eco.v3 · supersedes hk.eco.v2 · produced 2026-10-31T02:04:09Z · signed on the node door

The catalogue starts from identifying the duty, obtaining the relevant facts, recognising constraints, supporting an action and preserving evidence. It retains the current page's sourceable information and extends the chapter beyond the page. Each regime is scoped to the instruments, actors and activities its evidence applies to. No tax or settlement value is treated as universal to a market.

`jurisdiction_scope`Territory, regime boundaries and cross-border applicability	territory Hong Kong regime Hong Kong's securities and futures markets regulator Securities and Futures Commission (SFC) legal_basis Securities and Futures Ordinance (SFO) and subsidiary legislation source https://www.sfc.hk/en/About-the-SFC/Our-role · dated 20 Apr 2021
`competent_authorities`Regulators, competent authorities and allocation of responsibility	Securities and Futures Commission (SFC) - "an independent statutory body set up in 1989 to regulate Hong Kong's securities and futures markets" source https://www.sfc.hk/en/About-the-SFC/Our-role · dated not found
`duty_map`Applicable product-governance and suitability duties by activity and actor	duty suitability (SFC Code of Conduct paragraph 5.2) source https://mcp.getissuer.ai/mcp · dated not found
`regulated_activities`Activities requiring authorisation and their scope	not found
`issuer_and_listing_scope`Domicile, listing and issuer-status distinctions	listing_matters_regulated_by The Stock Exchange of Hong Kong Limited sfc_role Exercising oversight of regulations governing takeovers and mergers of public companies and of The Stock Exchange of Hong Kong Limited's regulation of listing matters source https://www.sfc.hk/en/About-the-SFC/Our-role · dated 20 Apr 2021
`exchanges_and_venues`Venue identities linked to AMP records	name The Stock Exchange of Hong Kong Limited (HKEX) - Main Board (Main Board Listing Rules) and GEM (GEM Listing Rules) listings_page https://en-rules.hkex.com.hk/rulebook/207c source https://en-rules.hkex.com.hk/rulebook/207c · dated not found
`information_stores`Authoritative regulated-information repositories	HKEXnews (the Exchange's website; listed issuers submit ready-to-publish electronic copies through HKEx-EPS for publication, Main Board Rule 2.07C) source https://en-rules.hkex.com.hk/rulebook/207c · dated not found
`store_lookup`Documented lookup methods and identifier requirements	HKEXnews Listed Company Information Title Search (search by stock code / name; results sortable by release time) source https://www1.hkexnews.hk/search/titlesearch.xhtml · dated not found
`periodic_reporting`Periodic duties, deadlines, triggering events and exceptions	report Preliminary annual results announcement (Main Board 13.49(1)) deadline The issuer must publish such results not later than three months after the end of the financial year report Annual report / summary financial report (13.46(2)) deadline not less than 21 days before the date of the AGM and in any event not more than four months after the end of the financial year report Preliminary interim results announcement, first six months (13.49(6)) deadline not later than two months after the end of that period report Interim report / summary interim report (13.48(1)) deadline not later than three months after the end of that period of six months source https://en-rules.hkex.com.hk/rulebook/1346 · dated not found
`ad_hoc_disclosure`Event-driven and inside-information disclosure obligations	Main Board Rule 13.09(2)(a): "Where an issuer is required to disclose inside information under the Inside Information Provisions [Part XIVA SFO], it must also simultaneously announce the information." Rule 13.09(1): announce information necessary to avoid a false market as soon as reasonably practicable after consultation with the Exchange; Rule 13.10A: apply for trading halt/suspension where an announcement cannot be made promptly source https://en-rules.hkex.com.hk/sites/default/files/net_file_store/HKEX4476_2472_VER20.pdf · dated not found
`filing_formats`Required formats, validation requirements and document types	Ready-to-publish electronic copy submitted through HKEx-EPS for publication on the Exchange's website (Rule 2.07C(1)(a)(i)) source https://en-rules.hkex.com.hk/rulebook/207c · dated not found
`filing_languages`Required or accepted languages and translation conditions	"Any publication by an issuer pursuant to this rule 2.07C must be made in both the English and Chinese language unless otherwise stated." source https://en-rules.hkex.com.hk/rulebook/207c · dated not found
`prospectus_regime`Offering and admission requirements, exemptions and thresholds	not found
`product_disclosures`Product documents and pre-contract information duties	duty Licensed or registered persons should, where available, provide each client with recommended investment products' up-to-date prospectuses or offering circulars and other up-to-date documents relevant to the investments source SFC FAQs on Compliance with Suitability Obligations (Code of Conduct paragraph 5.2) source https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations · dated 23 July 2026
`takeover_regime`Offer rules, control triggers and shareholder treatment	not found
`ownership_reporting`Significant holdings, beneficial ownership and notification duties	not found
`short_selling`Restrictions, disclosure, locate or borrowing requirements, emergency measures	not found
`market_abuse`Insider dealing, manipulation and related disclosure regimes	not found
`trading_controls`Market-wide trading constraints and intervention powers	not found
`market_calendar`Authoritative calendars and exceptional closures	HKEX Trading Hour, Trading and Settlement Calendar (Stock Connect calendar pages; 2026 PDF/CSV) and HKEX Calendar subscription source https://www.hkex.com.hk/Mutual-Market/Stock-Connect/Reference-Materials/Trading-Hour · dated not found
`halts_sources`Official halt and suspension sources with scope	Main Board Chapter 6 (Trading Halt, Suspension, Cancellation and Withdrawal of Listing); Rule 13.10A (issuer must apply for halt/suspension where an announcement cannot be made promptly); Rule 2.07C(1)(a)(iv) (issuer must publish an announcement on HKEXnews that trading has been halted or suspended, with the reason) source https://en-rules.hkex.com.hk/rulebook/207c · dated not found
`identifiers`Security and entity identifier conventions and validation sources	corporate_investor_client_identification_order legal entity identifier (LEI) registration document number company incorporation number business registration number other equivalent identity document number context unique identification numbers provided by CMIs for orders placed on an omnibus basis source https://www.sfc.hk/en/faqs/intermediaries/supervision/Code-of-Conduct/6-May-2022---Code-of-Conduct · dated 6 May 2022
`isin_prefix`ISIN prefix information and its limits as a jurisdiction indicator	HK - Hong Kong Exchanges and Clearing Ltd is the Hong Kong member listed on ANNA's member list source https://anna-web.org/anna-members/ · dated not found
`lei_requirements`Legal Entity Identifier requirements and authoritative lookup references	LEI issued by any GLEIF-accredited LEI issuer accredited for the entity's jurisdiction; "Legal entities are not limited to using an LEI Issuer domiciled in its own country". No Hong Kong-specific issuer name read on an official page. source https://www.gleif.org/en/about-lei/get-an-lei-find-lei-issuing-organizations · dated not found
`settlement`Settlement cycles by instrument and venue, exceptions and transition dates	not found
`clearing_and_custody`Clearing, depository, custody and asset-protection frameworks	entity HKSCC role recognised clearing house in Hong Kong; provides integrated clearing and settlement in the Cash Market by acting as a central counterparty and a securities settlement system, as well as offering depository and nominee services system CCASS parent wholly-owned subsidiary of HKEX source https://www.hkex.com.hk/-/media/HKEX-Market/News/News-Release/2025/250716news/HKEX-Accelerated-Settlement-Paper-2025-v10-EN-(cover).pdf · dated July 2025
`corporate_actions`Rights, elections, notices and procedural deadlines	not found
`retail_access`Retail distribution limits, access restrictions and safeguards	safeguard Suitability Requirement (Paragraph 5.2 of the Code of Conduct for Persons Licensed by or Registered with the SFC) description when making a recommendation or solicitation, ensure the suitability of the recommendation or solicitation for the client is reasonable in all the circumstances scope applies to any channel through which licensed or registered persons distribute or provide advice on investment products source https://www.sfc.hk/en/Rules-and-standards/Suitability-requirement · dated 17 Oct 2019
`cross_border_access`Foreign participation and cross-border offering or service restrictions	not found
`tax_at_source`Withholding regimes by income, instrument and recipient category; relief conditions	not found
`fees_and_levies`Transaction taxes, statutory levies and relevant charges	not found
`conduct_and_conflicts`Conduct, inducement and conflict-management duties relevant to distribution	duty must not take such commission rebates or other benefits as the primary basis for recommending particular investment products to clients applies_to licensed or registered persons source SFC FAQs on Compliance with Suitability Obligations, Q5A source https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations · dated 23 Jul 2026
`recordkeeping`Retention, evidence, format and reconstruction requirements	record records documenting suitability/recommendation rationale and information given to clients product_scope non-exchange traded products retention at least 7 years record records documenting suitability/recommendation rationale and information given to clients product_scope exchange traded products retention at least 2 years source https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations · dated 23 July 2026
`complaints_and_redress`Complaint, escalation and redress routes	route Platform Operator's contact details for handling client enquiries and complaints, to be provided to clients applies_to Platform Operators of online distribution and advisory platforms source Guidelines on Online Distribution and Advisory Platforms, CP2 note (viii) source https://www.sfc.hk/-/media/EN/assets/components/codes/files-current/web/guidelines/guidelines-on-online-distribution-and-advisory-platforms/guidelines-on-online-distribution-and-advisory-platforms.pdf · dated July 2019
`effective_changes`Enacted, proposed and transitional changes, kept distinguishable	change revisions to paragraph 3.9 (Order recording) of the Code of Conduct status enacted effective_date 1 Dec 2012 source https://www.sfc.hk/-/media/EN/assets/components/codes/files-current/web/codes/code-of-conduct-for-persons-licensed-by-or-registered-with-the-securities-and-futures-commission/Code_of_conduct-Jan-2024_Eng-Final-with-Bookmark_20240119.pdf · dated June 2012
`additional_duty_fields`Further sourceable duty-relevant fields, introduced through a versioned catalogue extension	not found

Appendix B · ACM register section

ACM · hk.acm.v3 · supersedes hk.acm.v2 · produced 2026-10-31T01:48:29Z · signed on the node door

The register revision is incorporated by reference to ACM-68000 (Agent Clearance Manifest) canonical text v1.0 §8.1 and is not redrawn here. These are chapter attachment fields connecting the chapter to that register; they never redefine rule_version, signal meanings or revision internals.

`register_revision_ref`Exact immutable revision governed by ACM-68000 §8.1	rule_version acm-68000/hk/suitability-sfc-code-of-conduct-paragraph-5-2/r1 path register/hk/acm-68000-hk-suitability-sfc-code-of-conduct-paragraph-5-2-r.json content_hash sha256:530ea55336aca1c1a4fb2da99252ea9564be71770cbfdf2db0eb2eec5f958805 source https://www.sfc.hk/en/Rules-and-standards/Suitability-requirement · dated 17 Oct 2019
`register_schema_ref`Authoritative register-revision schema and its version	ACM-68000 canonical text v1.0 §8.1 — a register revision source https://acm-68000.org/ · dated 2026-10-30
`chapter_evidence_ref`Immutable chapter version and section from which the revision was produced	chapter hk.chapter.v3 chapter_sha256 sha256:9a00adbc7445ae3191bac6499cbcfe68e10e9fb468e1b0a613394e03dd387562 sections family ECO version hk.eco.v2 field duty_map sha256 sha256:0cdb9eb9792856eb302dddb3e19448bf614c71691fa5039360144a2cfa61c735 family ACM version hk.acm.v2 sha256 sha256:f44f7680e61a2c161d4fd9484166d91569d94bca3aee91c3cc2858cece7951c0 source https://mcp.getissuer.ai/mcp · dated 2026-10-31
`rule_applicability`Market-specific applicability evidence for the referenced revision	field actions value recommendation solicitation source_url https://www.sfc.hk/en/Rules-and-standards/Suitability-requirement source_date 17 Oct 2019 field actor_classes value licensed or registered persons source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 July 2026 source https://www.sfc.hk/en/Rules-and-standards/Suitability-requirement · dated 17 Oct 2019
`shared_revision_ref`Shared-family revisions produced by the apex, where applicable	not found
`national_overlay_ref`Separately versioned national additions or exceptions	not found
`revision_change_evidence`Sources supporting selection or succession of the referenced revision	field legal_reference value instrument Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission provision Paragraph 5.2 authority Securities and Futures Commission (SFC) source_url https://www.sfc.hk/en/Rules-and-standards/Suitability-requirement source_date 17 Oct 2019 source https://www.sfc.hk/en/Rules-and-standards/Suitability-requirement · dated 17 Oct 2019

Appendix C · AIO orderability section

standard AIO-10060 · AI Orderability

AIO · hk.aio.v4 · supersedes hk.aio.v3 · produced 2026-10-31T20:05:23Z · signed on the node door

The chapter describes the source-backed determination framework. A product-specific orderability result requires the product record, the client category, the relevant evidence and the applicable rule revision; this section never manufactures that result from market membership alone. It adds no field to the deployed receipt.

`duty_revision_ref`Applicable immutable ACM rule revision	not found
`product_scope`Products and instrument categories covered by the target-market regime	instrument_class investment products rule paragraph 5.2 of the Code of Conduct source_url https://apps.sfc.hk/edistributionWeb/api/circular/list-content/circular/suitability/doc?refNo=16EC73&lang=EN source_date 23 Dec 2016 read_at 2026-10-31T18:35:57Z instrument_class non-exchange traded products rule paragraph 5.2 of the Code of Conduct source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T18:35:57Z instrument_class exchange traded products rule paragraph 5.2 of the Code of Conduct source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T18:35:57Z source https://apps.sfc.hk/edistributionWeb/api/circular/list-content/circular/suitability/doc?refNo=16EC73&lang=EN · dated 23 Dec 2016
`client_categories`Client classifications and source-backed qualification criteria	not found
`target_market`Positive target-market criteria and their applicability	not found
`negative_target_market`Explicit exclusions or incompatible client characteristics	not found
`distribution_conditions`Permitted distribution methods and constraints	condition provide each client with recommended investment products’ up-to-date prospectuses or offering circulars and other up-to-date documents relevant to the investments party licensed or registered persons discharged_by document and record contemporaneously the information given to each client (Q7) rule FAQs on Compliance with Suitability Obligations Q6A, Q7 source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T20:04:26Z condition giving the client proper explanations of why recommended investment products are suitable for the client and the nature and extent of risks the investment products bear party licensed or registered persons discharged_by document and record contemporaneously the information given to each client, including any material queries raised by the client and the responses given (Q7) rule FAQs on Compliance with Suitability Obligations Q6A, Q7 source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T20:04:26Z condition establish and define their relationships with each client by way of a client agreement before providing services to the client party licensed or registered persons discharged_by client agreement rule FAQs on Compliance with Suitability Obligations Q9 source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T20:04:26Z source https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations · dated 23 Jul 2026
`required_assessments`Suitability, appropriateness or other assessment requirements and triggers	assessment suitability assessments trigger when making a recommendation or solicitation party licensed or registered person discharged_by maintain records documenting the rationale underlying investment recommendations made to the client (Q7) rule paragraph 5.2 of the Code of Conduct source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T20:04:26Z assessment know your client trigger irrespective of whether a solicitation or recommendation is to be made party licensed or registered persons discharged_by Each client’s information should be properly documented rule paragraph 5.1 of the Code of Conduct source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T20:04:26Z assessment concentration risk trigger when assessing the suitability of a product to the client party licensed or registered persons rule FAQs on Compliance with Suitability Obligations Q5A source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T20:04:26Z assessment assessment of the client’s attitude towards risk trigger based on the information disclosed by a client party licensed or registered persons rule FAQs on Compliance with Suitability Obligations Q2, Q3 source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T20:04:26Z source https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations · dated 23 Jul 2026
`product_documentation`Required product, risk and target-market documents	document up-to-date prospectuses or offering circulars party Licensed or registered persons rule should, where available, provide each client with recommended investment products' up-to-date prospectuses or offering circulars source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T18:35:57Z document other up-to-date documents relevant to the investments party Licensed or registered persons rule should, where available, provide each client with other up-to-date documents relevant to the investments source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T18:35:57Z document documentation of verification work and enquiries made about the products party Licensed or registered persons rule should document verification work and enquiries, the criteria for selecting the products and the approvals from senior management source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T18:35:57Z source https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations · dated 23 Jul 2026
`manufacturer_distributor_roles`Responsibilities and information exchange between actors	actor Licensed or registered persons role understand the investment products they recommend to clients (Product due diligence) rule suitability obligations under paragraph 5.2 of the Code of Conduct source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T18:35:57Z actor product issuers role full explanations about the risks inherent in the investment products rule Licensed or registered persons should make their own enquiries and obtain full explanations from product issuers source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T18:35:57Z source https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations · dated 23 Jul 2026
`review_triggers`Required review events and periodic review conditions	event product due diligence period_or_condition on a continuous basis at appropriate intervals having regard to the nature, features and risks of investment products party Licensed or registered persons source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T18:35:57Z event client's information updated period_or_condition where appropriate, on a continuous basis rule paragraph 5.1 of the Code of Conduct source_url https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations source_date 23 Jul 2026 read_at 2026-10-31T18:35:57Z source https://www.sfc.hk/en/faqs/intermediaries/supervision/Compliance-with-Suitability-Obligations/Compliance-with-Suitability-Obligations · dated 23 Jul 2026
`exceptions`Source-backed exceptions with conditions and boundaries	exception mere posting of an advertisement for an investment product in newspapers, magazines or television programmes condition In the absence of direct communications with the client provision paragraph 5.2 of the Code of Conduct source_url https://apps.sfc.hk/edistributionWeb/api/circular/openFile?lang=EN&refNo=16EC73 source_date 23 December 2016 read_at 2026-10-31T18:36:50Z exception wide dissemination of research reports condition In the absence of direct communications with the client provision paragraph 5.2 of the Code of Conduct source_url https://apps.sfc.hk/edistributionWeb/api/circular/openFile?lang=EN&refNo=16EC73 source_date 23 December 2016 read_at 2026-10-31T18:36:50Z source https://apps.sfc.hk/edistributionWeb/api/circular/openFile?lang=EN&refNo=16EC73 · dated 23 December 2016
`orderability_profile_ref`Schema for the product, market and client-class outcome produced under these rules	not found
`sources`Supporting documents and provenance not attached to a specific field	title Frequently Asked Questions on Compliance with Suitability Obligations by Licensed or Registered Persons (FAQs) date 23 Dec 2016 (updated 23 Jul 2026) title Frequently Asked Questions on Triggering of Suitability Obligations date 23 Dec 2016 title Frequently Asked Questions on streamlined approach for compliance with suitability obligations when dealing with sophisticated professional investors date 28 Jul 2023 source https://www.sfc.hk/en/Rules-and-standards/Suitability-requirement/FAQs · dated 28 Jul 2023

Appendix D · AMP venue section

standard AMP-10060 · Agentic Market Protocol

AMP · hk.amp.v2 · supersedes hk.amp.v1 · produced 2026-10-31T02:39:18Z · signed on the node door

Each venue record is keyed by its evidenced Market Identifier Code (MIC). Where an activity has no applicable code, the gap is preserved with a separately typed reference; no code is invented. This section supplies reference information only; it establishes no entitlement, permission to route or order placement. A later permission profile requires its own actor, instrument, action and endpoint evidence.

venue_mic · XHKG
source https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv · dated 20110627

`venue_identity`Venue name, operator and authoritative identity evidence	venue The Stock Exchange of Hong Kong Limited operator Hong Kong Exchanges and Clearing Limited relationship A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited source https://www.hkex.com.hk/-/media/HKEX-Market/Services/Circulars-and-Notices/Participant-and-Members-Circulars/SEHK/2025/ce_SEHK_CT_075_2025.pdf · dated 02/06/2025
`venue_scope`Operating or segment scope, products and jurisdiction bindings	scope Monitor the trading of shares, options and futures on SEHK and Hong Kong Futures Exchange Limited products shares options futures oversight Securities and Futures Commission of Hong Kong source https://www.sfc.hk/en/About-the-SFC/Our-role/Who-we-regulate · dated 30 Sep 2024
`rules_page`Authoritative venue rule source	not found
`calendar`Sessions, holidays and exceptional closures	type weekly closure description Securities Market is closed on Saturdays, Sundays and Public Holidays date 1 January 2026 holiday The first day of January date 17 February 2026 holiday Lunar New Year's Day date 18 February 2026 holiday The second day of Lunar New Year date 19 February 2026 holiday The third day of Lunar New Year date 3 April 2026 holiday Good Friday date 6 April 2026 holiday The day following Ching Ming Festival date 7 April 2026 holiday The day following Easter Monday date 1 May 2026 holiday Labour Day date 25 May 2026 holiday The day following the Birthday of the Buddha date 19 June 2026 holiday Tuen Ng Festival date 1 July 2026 holiday Hong Kong Special Administrative Region Establishment Day date 1 October 2026 holiday National Day date 19 October 2026 holiday The day following Chung Yeung Festival date 25 December 2026 holiday Christmas Day date 16 February 2026 type half-day trading day and non-settlement day note Eve of Lunar New Year date 24 December 2026 type half-day trading day and non-settlement day note Eve of Christmas Day date 31 December 2026 type half-day trading day and non-settlement day note Eve of New Year source https://www.hkex.com.hk/-/media/HKEX-Market/Services/Circulars-and-Notices/Participant-and-Members-Circulars/SEHK/2025/ce_SEHK_CT_075_2025.pdf · dated 02/06/2025
`clearing_house`Clearing relationships by instrument and service	name Hong Kong Securities Clearing Company Limited name HKFE Clearing Corporation Limited name The SEHK Options Clearing House Limited source https://www.hkex.com.hk/Services/Rules-and-Forms-and-Fees/HKEX-Rule-Enforcement-and-Disciplinary/HKEX-Rule-Enforcement?sc_lang=en · dated Updated 28 Sep 2026
`participant_roles`Defined participant categories and responsibilities	category Exchange Participants of The Stock Exchange of Hong Kong Limited and Hong Kong Futures Exchange Limited responsibility complete and return the Self-attestation of Compliance Questionnaire to the Exchange by the specified deadline source https://www.hkex.com.hk/-/media/HKEX-Market/Services/Circulars-and-Notices/Participant-and-Members-Circulars/HKFE/2026/Circular-MSM_007_2026-(Eng).pdf · dated 23/06/2026
`market_maker_obligations`Source-backed obligations and exemptions for market makers	not found
`gates`Documented entry, membership and access prerequisites	gate Registration with the SFC as a Licensed Corporation detail Prior to applying to become an Exchange Participant, broker-dealers have to be registered with the Securities and Futures Commission (SFC) as a Licensed Corporation. gate Trading Right detail An Exchange Participant must hold at least one Trading Right in the Stock Exchange or Futures Exchange. gate Legal Status detail Be a company limited by shares incorporated in Hong Kong gate Clearing arrangement detail either becoming a Clearing Participant of the respective clearing house, or by maintaining an approved clearing arrangement with a General Clearing Participant source https://www.hkex.com.hk/-/media/hkex-market/services/become-a-participant/admission-criteria/becomeep_e · dated April 2014
`reference_endpoints`Public reference locations with purpose and source	name HKEXnews website location www.hkexnews.hk purpose HKEX's regulatory disclosure (including regulatory announcements and corporate communications) for viewing or downloading source HKEX name HKEX Group website location www.hkexgroup.com purpose HKEX's regulatory disclosure for viewing or downloading source HKEX source https://www.hkexgroup.com/-/media/HKEX-Group-Site/ssd/Corporate-Governance/Documents/ShareholdersGuide_e.pdf · dated March 2026
`settlement_links`Related market or venue settlement records	Hong Kong Securities Clearing Company Limited (HKSCC) HKFE Clearing Corporation Limited (HKCC) The SEHK Options Clearing House Limited (SEOCH) OTC Clearing Hong Kong Limited (OTC Clear) source https://www.hkex.com.hk/-/media/hkex-market/services/become-a-participant/admission-criteria/becomeep_e · dated April 2014
`change_notices`Versioned rules changes and operational notices	rulebook Rules and Procedures of HKCC notice Amendments for the purposes of (i) facilitating the acceptance of Bond Connect Securities and MOF Offshore Bonds as margin collateral and (ii) introducing new Segregated Individual Client Account and Segregated Client Market Maker Account types effective 2 November 2026 rulebook Rules and Procedures of HKCC notice Amendments for the purpose of granting HKCC the authority to accept central bank digital currencies as approved collateral for advance margin deposit, in support of after-hours trading of HKCC Participants effective 28 September 2026 rulebook Rules and Procedures of HKCC notice Amendments for the purpose of facilitating the introduction of the Five-Year China Government Bond Futures Contract for trading on Hong Kong Futures Exchange Limited effective 3 August 2026 rulebook Rules and Procedures of HKCC notice Amendments in connection with the establishment by HKCC of a settlement account with the Hong Kong Monetary Authority effective 20 April 2026 source https://www.hkex.com.hk/services/rules-and-forms-and-fees/rules/hkcc/rule-update_rules-and-procedures-of-hkcc?sc_lang · dated 16 Oct 2026
`sources`Additional source-backed venue evidence	field participant compliance submission value Participants are required to submit the completed questionnaires via the ECP. field Annual Attestation and Inspection Programme value 2026 Annual Attestation and Inspection Programme source https://www.hkex.com.hk/Services/Rules-and-Forms-and-Fees/HKEX-Rule-Enforcement-and-Disciplinary/HKEX-Rule-Enforcement?sc_lang=en · dated Updated 28 Sep 2026

venue_mic · not found

`venue_identity`Venue name, operator and authoritative identity evidence	not found
`venue_scope`Operating or segment scope, products and jurisdiction bindings	not found
`rules_page`Authoritative venue rule source	not found
`halts`Official halt information and applicability scope	not found
`calendar`Sessions, holidays and exceptional closures	not found
`clearing_house`Clearing relationships by instrument and service	not found
`market_maker_obligations`Source-backed obligations and exemptions for market makers	not found
`gates`Documented entry, membership and access prerequisites	not found
`reference_endpoints`Public reference locations with purpose and source	name e-Submission System (ESS) url https://www1.eSubmission.hkex.com.hk purpose submit the completed Listing Related Matters e-Form, the Announcement Form or Return e-Form source HKEX source https://www.hkex.com.hk/Listing/Rules-and-Resources/Checklist-forms-and-templates/Forms/Equity-Securities-Issuers/GEM-Issuers?sc_lang=en · dated Last updated in October 2026.
`settlement_links`Related market or venue settlement records	not found source https://www.hkex.com.hk/Market-Data/Statistics/Consolidated-Reports/HKEX-Monthly-Market-Highlights?sc_lang=en · dated Updated 30 Sep 2026
`change_notices`Versioned rules changes and operational notices	notice Amendments for the purpose of tightening the relevant order price limit from 9-times rule to 5-times rule for all securities, except for structured products effective 2 November 2026 source https://www.hkex.com.hk/Services/Rules-and-Forms-and-Fees/Rules/SEHK/Rules-of-the-Exchange/Rules/Rule-Update_Rules-of-the-Exchange?sc_lang=en · dated 26 Oct 2026
`sources`Additional source-backed venue evidence	not found

venue_mic · not found

`venue_identity`Venue name, operator and authoritative identity evidence	not found
`venue_scope`Operating or segment scope, products and jurisdiction bindings	not found
`rules_page`Authoritative venue rule source	not found
`calendar`Sessions, holidays and exceptional closures	not found
`clearing_house`Clearing relationships by instrument and service	not found
`market_maker_obligations`Source-backed obligations and exemptions for market makers	not found
`gates`Documented entry, membership and access prerequisites	gate Exchange Participant admission requirement Any broker-dealer that intends to operate a brokerage business for products available on HKEX, using the trading facilities of The Stock Exchange of Hong Kong Limited (Stock Exchange) and/or Hong Kong Futures Exchange Limited (Futures Exchange), must be admitted and registered as an Exchange Participant of that Exchange. source https://www.hkex.com.hk/Services/Become-a-Participant/Guide-to-Becoming-an-Exchange-Participant?sc_lang=en · dated Updated 26 Oct 2026
`reference_endpoints`Public reference locations with purpose and source	url https://surveys.hkex.com.hk/jfe/form/SV_424q8tzSvNhOTeS purpose The feedback form to this Consultation Paper and instructions for its submission source HKEX Accelerated Settlement for the Hong Kong Cash Market Consultation Paper source https://www.hkex.com.hk/-/media/HKEX-Market/News/Market-Consultations/2016-Present/April-2026-Accelerated-Settlement-for-the-Hong-Kong-Cash-Market/Consultation-Paper/cp202604.pdf · dated April 2026
`settlement_links`Related market or venue settlement records	not found
`change_notices`Versioned rules changes and operational notices	notice Amendments for the purpose of tightening the relevant order price limit from 9-times rule to 5-times rule for all securities, except for structured products effective 2 November 2026 source https://www.hkex.com.hk/Services/Rules-and-Forms-and-Fees/Rules/SEHK/Rules-of-the-Exchange/Rules/Rule-Update_Rules-of-the-Exchange?sc_lang=en · dated 26 Oct 2026
`sources`Additional source-backed venue evidence	fact Proposed T+1 implementation date for the Hong Kong Cash Market value Q4 2027 source https://www.hkex.com.hk/-/media/HKEX-Market/News/Market-Consultations/2016-Present/April-2026-Accelerated-Settlement-for-the-Hong-Kong-Cash-Market/Consultation-Paper/cp202604.pdf · dated April 2026

Appendix E · ESG disclosure section

standard ESG-10060 · Sustainability Disclosure

ESG · hk.esg.v2 · supersedes hk.esg.v1 · produced 2026-10-31T02:57:34Z · signed on the node door

Sustainability disclosure remains a specialised ECO record with its rules in ACM. A jurisdiction's adoption of a framework is distinct from the framework's application to a particular issuer or period; the schema preserves that distinction and never turns disclosure availability into a sustainability rating.

`regime`Named sustainability-disclosure regime and its scope	name SEHK Listing Rules climate-related disclosure requirements (ESG Code, Part D, Appendix C2 of the Main Board / GEM Listing Rules) scope climate-related disclosure requirements for listed companies in Hong Kong source https://www.sfc.hk/en/Sustainable-finance/Corporate-Sustainability-Disclosures · dated 20 May 2024
`authority`Responsible issuing or supervisory authorities	name Stock Exchange of Hong Kong Limited (SEHK) role issued consultation and Listing Rules amendments on climate-related reporting requirements name Securities and Futures Commission (SFC) role announced support for the SEHK consultation source https://www.sfc.hk/en/Sustainable-finance/Corporate-Sustainability-Disclosures · dated 20 May 2024
`adoption_stage`Proposal, adoption, commencement and transitional operation, distinguished	proposal April 2023 SEHK public consultation on proposed climate-related reporting requirements adoption April 2024 consultation conclusion; Listing Rules amendments announced commencement implemented in phases starting 1 January 2025 source https://www.sfc.hk/en/Sustainable-finance/Corporate-Sustainability-Disclosures · dated 20 May 2024
`reporting_standards`Referenced disclosure standards and applicable editions	standard IFRS S2 Climate-related Disclosures role basis of new Listing Rules requirements standard IFRS S1 General Requirements for Disclosure of Sustainability-related Financial Information role referenced in Implementation Guidance source https://www.sfc.hk/en/Sustainable-finance/Corporate-Sustainability-Disclosures · dated 20 May 2024
`taxonomy`Classification frameworks, criteria and binding status	not found
`climate_requirements`Source-backed climate disclosure requirements and scope	not found
`filing_store_and_format`Authoritative destination and required filing format	location Climate-related disclosures could be located in an issuer's ESG report (whether as a standalone report or a part of the annual report) timing publish their ESG report on an annual basis and regarding the same period covered in their annual report, and at the same time as their annual reports source https://www.hkex.com.hk/-/media/HKEX-Market/Listing/Rules-and-Guidance/Environmental-Social-and-Governance/Exchanges-guidance-materials-on-ESG/guidance_enhanced_climate_dis.pdf · dated April 2024
`interoperability`Recognised equivalence, mapping or substituted-compliance provisions	framework IFRS S1 and IFRS S2 (ISSB Standards) provision ESG reports prepared in compliance with IFRS S1 and S2 are considered to have complied with Part D of the ESG Code source https://www.hkex.com.hk/-/media/HKEX-Market/Listing/Rules-and-Guidance/Environmental-Social-and-Governance/Exchanges-guidance-materials-on-ESG/guidance_enhanced_climate_dis.pdf · dated April 2024
`rule_revision_ref`Applicable immutable ACM disclosure-rule revisions	not found
`sources`Supporting regime and disclosure evidence	not found

SM-ECO-10060sm-eco-10060.org/market/hk/

Appendix A · ECO market section

Appendix B · ACM register section

Appendix C · AIO orderability section

Appendix D · AMP venue section

venue_mic · XHKGsource https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv · dated 20110627

venue_mic · not found

venue_mic · not found

Appendix E · ESG disclosure section

venue_mic · XHKG
source https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv · dated 20110627