Shenzhen-Hong Kong Stock Connect

This review provides detailed eligible market due diligence for Shenzhen-Hong Kong Stock Connect.

Shenzhen-Hong Kong Stock Connect is located in Hong Kong and Mainland China. and is regulated by the China Securities Regulatory Commission (CSRC) and the Securities & Futures Commission of Hong Kong (SFC).

This review will allow users to establish if a market is UCITS eligible and whether Shenzhen-Hong Kong Stock Connect is regulated, operates regularly, and is open to the public.

Exchange Reviews

Included within the due diligence review is information on:

General Country Information

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    Is the Hong Kong Dollar (HKD) and Yuan Renminbi (CNY). freely convertible?
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    Is Hong Kong and Mainland China an OECD or FATF member country?
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    What is the corruption score for Hong Kong and Mainland China?
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    Ease of repatriation of capital.

Market Regulations

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    Is China Securities Regulatory Commission (CSRC) and the Securities & Futures Commission of Hong Kong (SFC). a statutory body?
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    What complaints mechanisms are in place?
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    Market Surveillance.

Listing Rules

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    What are the capital requirements for companies listed on Shenzhen-Hong Kong Stock Connect
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    Do companies listed on Shenzhen Connect have to publish a prospectus and audited annual financial statements?
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    Does Shenzhen-Hong Kong Stock Connect have the power to delist securities?

Broker and Member Rules

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    How are brokers supervised on Shenzhen-Hong Kong Stock Connect?
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    Does Shenzhen Connect have a guarantee fund?
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    What sanctions can be imposed on brokers?
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    What are the capital requirements for brokers on Shenzhen Connect?

Market Transparency & Trading

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    What are the trading hours for Shenzhen-Hong Kong Stock Connect?
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    What instruments are listed on Shenzhen Connect?
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    Is there daily market information available?

Clearing and Settlement

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    What is the settlement cycle on Shenzhen-Hong Kong Stock Connect? (e.g T+2, T+3, T+4)
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    What is the settlement method on Shenzhen Connect? (DVP, FOP)
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    Is there a Central Counterparty?
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    Are securities dematerialized?
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    RTGS v Netting?
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    How are securities registered?

Liquidity

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    No. of Listed Securities
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    Market Capitalisation
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    Market Concentration
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    Market Trading
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    Share Turnover Velocity
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    Trades Per Day

Key Risks

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    What are the key risks of the market?
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