Securities & Futures Commission of Hong Kong

Dual filing

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

Dual filing refers to the requirements of the Securities 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.

3.5720 s