Electronic Compliance Object · Hong Kong
What an agent must know before it acts on a security listed in Hong Kong: who regulates, where the filings are stored, what is due when, and which state the issuer is in.
| Field | Value | Source |
|---|---|---|
| Regulator | Securities and Futures Commission (SFC) - "an independent statutory body set up in 1989 to regulate Hong Kong's securities and futures markets" www.sfc.hk | www.sfc.hk/en/About-the-SFC/Our-role |
| Exchange(s) and listings page | The Stock Exchange of Hong Kong Limited (HKEX) - Main Board (Main Board Listing Rules) and GEM (GEM Listing Rules) — en-rules.hkex.com.hk/rulebook/207c | en-rules.hkex.com.hk/rulebook/207c |
| Regulated-information store | HKEXnews (the Exchange's website; listed issuers submit ready-to-publish electronic copies through HKEx-EPS for publication, Main Board Rule 2.07C) www.hkexnews.hk | en-rules.hkex.com.hk/rulebook/207c www.hkexnews.hk/index.htm |
| Periodic disclosure obligations and deadlines | 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 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 Preliminary interim results announcement, first six months (13.49(6)) — deadline: not later than two months after the end of that period Interim report / summary interim report (13.48(1)) — deadline: not later than three months after the end of that period of six months | en-rules.hkex.com.hk/rulebook/1346 en-rules.hkex.com.hk/rulebook/1348 en-rules.hkex.com.hk/rulebook/1349 |
| Ad hoc / inside-information regime | 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 | en-rules.hkex.com.hk/sites/default/files/net_file_store/HKEX4476_2472_VER20.pdf |
| Filing format | Ready-to-publish electronic copy submitted through HKEx-EPS for publication on the Exchange's website (Rule 2.07C(1)(a)(i)) | en-rules.hkex.com.hk/rulebook/207c |
| ISIN prefix | HK - Hong Kong Exchanges and Clearing Ltd is the Hong Kong member listed on ANNA's member list | anna-web.org/anna-members |
| LEI | 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. www.gleif.org/en/about-lei/get-an-lei-find-lei-issuing-organizations | www.gleif.org/en/about-lei/get-an-lei-find-lei-issuing-organizations |
| Market calendar | HKEX Trading Hour, Trading and Settlement Calendar (Stock Connect calendar pages; 2026 PDF/CSV) and HKEX Calendar subscription www.hkex.com.hk/Mutual-Market/Stock-Connect/Reference-Materials/Trading-Hour,-Trading-and-Settlement-Calendar?sc_lang=en | www.hkex.com.hk/Mutual-Market/Stock-Connect/Reference-Materials/Trading-Hour,-Trading-and-Settlement-Calendar?sc_lang=en |
| Filing language(s) | "Any publication by an issuer pursuant to this rule 2.07C must be made in both the English and Chinese language unless otherwise stated." | en-rules.hkex.com.hk/rulebook/207c |
| Trading halts page | 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) en-rules.hkex.com.hk/rulebook/207c | en-rules.hkex.com.hk/rulebook/207c en-rules.hkex.com.hk/sites/default/files/net_file_store/HKEX4476_2472_VER20.pdf |
| Store lookup | HKEXnews Listed Company Information Title Search (search by stock code / name; results sortable by release time) www1.hkexnews.hk/search/titlesearch.xhtml | www1.hkexnews.hk/search/titlesearch.xhtml |
| Node status and door | NODE LIVE · as_of 2026-10-23 · 2,820 issuers · door https://mcp.hk-cm-kg.ai/mcp mcp.hk-cm-kg.ai/mcp | mcp.capitalmarketsknowledgegraph.ai/mcp (list_nodes, at render) |
| Signal | State | When |
|---|---|---|
| ACM-200 | TRADING | The ISIN is on this market's register (the node's current roster for the exchange list). |
| ACM-403 | HALTED | Trading in the line is suspended or halted by the exchange or regulator. The node's record carries the halt flag, read nightly from the market's halts page named in the fields. en-rules.hkex.com.hk/rulebook/207c |
| ACM-404 | NOT ON THE REGISTER | The ISIN is not on this market's register (not listed here, delisted, or never admitted). |
| ACM-451 | READ THE FILING | A regulatory filing for the issuer is dated in the last three days: read it before acting. The answer names it. |