Hong Kong SFC Regulatory Rules on Securities and Futures Market and HSBC Securities Penalty Reference

The rules and procedures listed below are for reference only and should not be considered as all disciplinary powers of the relevant exchanges and/or clearing houses. For all rules, regulations and procedures applicable to disciplinary matters, please visit the Rules Overview.

Hong Kong Exchanges and Clearing Limited

• Exchange Rules (including but not limited to Chapter 7 - Discipline and Exchange Disciplinary Procedures)
• Options Trading Rules (including but not limited to Chapter 8 - Discipline)

Hong Kong Futures Exchange

• HKFE Rules, Regulations and Procedures (including but not limited to Chapter 7 - Disciplinary Matters)

Hong Kong Securities Clearing Company

• CCASS General Rules (including but not limited to Chapter 20 - Disciplinary Actions)
• CCASS Operational Procedures Rules (including but not limited to Section 20 - Disciplinary Actions)

Hong Kong Futures Clearing

• HKCC Rules and Procedures (including but not limited to Chapter 5 - Limits and Default)

SEHK Options Clearing House

• Options Clearing Rules - SEHK Options Clearing House (including but not limited to Chapter 8 - Discipline)

• Standard Penalty Breaches (HKCC / HKSCC / SEOCH)