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Regulatory and Advisory Services for Listed Issuers on HKEX

Fulfilling Your Listed Issuer Obligations with Ease

For companies that are listed or planning to list on the Main Board or Growth Enterprise Market of the Hong Kong Stock Exchange (HKEX), there is a number of continuous obligations to be fulfilled. These obligations are governed by the rules and regulations that are set out by the Securities and Futures Commission of Hong Kong (SFC) and HKEX.

Services Like No Other

With the complex and constantly changing regulatory environment, it is never easy to cope with the challenge of keeping up to and complying with the latest requirements. Our team will provide you with timely and accurate updates, and guide you through on regulatory and compliance matters to ensure you meeting all your obligations as a listed issuer.

These obligations include:

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In addition, we can help you put a structure and process in place for organizing management and shareholder meetings, managing subsidiaries, implementing corporate restructuring, maintaining statutory registers and records, as well as setting up robust risk governance and controls.

Values that We Can Bring to You

  • Ensure Compliance
    • Fulfil regulatory and listing obligations in an accurate and timely manner
    • Keep up with the latest changes in regulations and requirements
  • Enhance Governance
    • Adopt best practices
    • Enhance investor relations
  • Mitigate Risks
    • Reduce operational risks
    • Monitor and manage capital risks
  • Optimize Processes
    • Maximize process efficiency
    • Save time and costs

Tricor –
A Trusted Partner for
Listed Issuers

Tricor serves over 1,500 companies listed on HKEX and over 40% of fortune 500 companies. Our highly experienced team of professionals are well positioned to offer you the right advisory services and recommendations, ensuring you to comply with the latest regulatory requirements and fulfil all your obligations without delay. We also have deep knowledge and expertise to guide and advise you on corporate governance best practices, and to assist you in handling secretarial works and maintaining corporate and financial records.

Get In Touch

Catharine  Wong
Managing Director - Head of Share Registry & Issuer Services
Mandy  Mok
Executive Director