On Jun. 20, 2025, HKEX issued reminder to all participants regarding the 2025 annual attestation and inspection program compliance questionnaire submission deadline.
All participants are required to submit a completed self-attestation of compliance questionnaire via electronic communication platform (ECP) at the specified website.
Questionnaire covers two priority areas: (1) China connect rules and (2) risk management, and prescribed risk controls; late or incomplete submissions will be taken seriously and may result in disciplinary actions under rules and regulations.
The submission deadline is Aug. 1, 2025.
On Apr. 1, HKEX issued a plan for 2025 annual attestation program.
HKEX issued a plan to implement 2025 annual attestation and inspection program, comprising self-attestation by participants, on-site inspection of selected participants.
2025 priority areas are compliance with China Connect rules in relation to northbound trading and risk management re practices in place to identify, assess, monitor, and mitigate various areas of risk such as credit, liquidity, operational, market, financial.
Self-attestation questionnaire will cover prescribed risk controls for trading system.
Information Sessions
HKEX stated two information sessions will be hosted in a live webinar format.
Will make recording, presentation materials available; registration required by Apr. 16.
Jun. 2025 Program Reminder
On Jun. 20, 2025, HKEX issued reminder to all participants regarding the 2025 annual attestation and inspection program compliance questionnaire submission deadline.
All participants are required to submit a completed self-attestation of compliance questionnaire via electronic communication platform (ECP) at the specified website.
Questionnaire covers two priority areas: (1) China connect rules and (2) risk management, and prescribed risk controls; late or incomplete submissions will be taken seriously and may result in disciplinary actions under rules and regulations.