2023 Annual Attestation and Inspection Programme – Self-attestation of Compliance Questionnaire

With reference to a circular dated February 28, 2023, which discusses the Annual Attestation and Inspection Program for 2023. Participants must complete a compliance questionnaire covering China Connect Rules and Risk Management, and Prescribed Risk Controls and submit it via an Electronic Communication Platform by July 21, 2023. Failure to comply may result in disciplinary action in accordance with relevant rules and regulations. The questionnaire and ECP user guide can be found on the HKEX Rule Enforcement webpage.

Resource:

https://www.hkex.com.hk/-/media/HKEX-Market/Services/Circulars-and-Notices/Participant-and-Members-Circulars/SEHK/2023/2023-Questionnaire-(E)_FINAL.pdf