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Dual filing

The dual filing arrangement has been in effect since 1 April 2003.

Dual filing refers to the requirements of the 鶹ý and Futures (Stock Market Listing) Rules (SMLR) under which listing applicants and listed companies must file applications and disclosure materials with the SFC, via The Stock Exchange of Hong Kong. As such, we can exercise enforcement powers against persons issuing false or misleading corporate information.

Since 2017, we raise enquiries with an applicant directly when we vet listing applications to determine whether an application gives rise to any concerns under the SMLR. Under section 6(2) of the SMLR, the SFC is empowered to object to a listing application. Where it does not object to a listing application, the SFC may impose conditions under section 6(3)(b) of the . In those cases, each listing applicant would disclose in its prospectus the conditions that are being imposed by the SFC. The SFC imposed conditions on the following listing applications.

  

Important note

 

  • The hyperlink above has been compiled on a best-effort basis. Please contact us at enquiry@sfc.hk if you have any questions. If you wish to access a full version of a prospectus, please go to the operated by Hong Kong Exchanges and Clearing Ltd (HKEx). 
  • For details of the SMLR, please refer to the (HKeL) operated by the Department of Justice (DoJ).

Disclaimer: How content is arranged in the HKExnews site and HKeL is solely the remit of HKEx and the DoJ respectively. The SFC has no control over and takes no responsibility for the availability and searchability of such information.

Last update: 5 Nov 2021

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