About the Listing Teams of SEHK

HK-listed issuers are regulated by the monopoly for-profit Stock Exchange of Hong Kong Ltd (SEHK, wholly owned by Hong Kong Exchanges and Clearing Ltd (HKEX, 0388.HK), under the supervision of the Securities and Futures Commission (SFC). The staff are divided into teams, with each issuer covered by 1 team at any point in time. Senior team members may serve on more than one team.
We launched the Complaint button on the Webb-site listed issuer pages at the end of 2023. At the time, SEHK was publishing a helpful spreadsheet showing the name, rank and telephone number of each member of regulatory staff in each team, and the team number assigned to each issuer. For a short while, we were able to track movement of staff between teams, arrivals, departures and change of staff ranks.
Some time after that, perhaps in reaction to the transparency that we created, SEHK removed the names of staff and replaced them with a simple "Case Manager" or "Case Officer". We make a working assumption that the telephone numbers belong to the same people as they did in 2023, although they may now belong to new staff - but isn't it nice to be able to ask for someone by name when you call to make a complaint? Obviously, the persons answering new phone numbers are anonymous in our system.
Our system broke down and we have a gap between 2024-01-24 and 2025-08-27 before we got around to fixing it, so you will not see "First Seen" or "Last Seen" dates in that range. The Stock Exchange definitely had regulatory staff in that period, but we didn't track changes.
HKEX can't regulate itself - that would be an even bigger conflict of interest than being a for-profit regulator. So the SFC handles complaints against HKEX as a listed company.

Recommend Webb-site to a friend