HKEX: Annual Plan for 2025 Compliance Assessment and On-site Inspection Coming Soon

On April 1st, HKEX announced that it will soon launch its annual plan for the 2025 compliance assessment and on-site inspection to continuously promote a culture of compliance in the market. The plan focuses on participants' compliance with relevant rules and regulations and includes two core components: a compliance assessment questionnaire for participants and on-site inspections of selected participants. The key focus areas for 2025 are as follows: (1) China Connect Rules: Compliance with the China Connect Rules related to northbound trading (applicable to China Connect Exchange Participants and Exchange Participants trading through China Connect Exchange Participants). (2) Risk Management: Measures involving the identification, assessment, monitoring, and mitigation of various risks, including credit, liquidity, operational, market, and financial risks (applicable to Clearing Participants). In addition to the key focus areas mentioned above, the compliance assessment questionnaire will also cover designated risk monitoring (applicable to Futures Exchange Participants and Options Exchange Participants of the Stock Exchange).