HKEX 2025 Annual Attestation Program

Updated on: Jun 25, 2025

Latest Event


  • 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.
  • 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.
  • Follows HKEX Apr. 2024 commenced 2024 annual attestation program, see #207458.
  • Outline of 2025 Program
  • 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.
  • The submission deadline is Aug. 1, 2025.
Regulators
HKEX
Entity Types
B/D; Exch
Reference
Cir MSM/006/2025, Surv, 6/20/2025; Cir MSM/003/2025, 4/1/2025
Functions
Audit; Compliance; Exams; Financial; Operations; Reporting; Risk; Trading; Training; Treasury
Countries
Hong Kong; Cross-Border
Category
State
N/A
Products
Clearing; Corporate; Loan; Securities
Rule Type
Final
Regions
AP
Rule Date
Apr 1, 2025
Effective Date
Aug 1, 2025
Rule ID
249242
Linked to
Reg. Last Update
Jun 20, 2025
Report Section
International