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Questionnaire Name - Statutory Backing to Disclose Price Sensitive Information by Listed Corporations

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1	Are you aware that the Financial Services and the Treasury Bureau (FSTB) and the Securities and Futures Commission (SFC) are currently conducting public consultations on giving statutory backing to continuous disclosure obligations placed on listed corporations? 您是否知道財經事務及庫務局和證監會現正就上市公司關於其股價敏感資料的持續披露責任問題進行公衆咨詢?
	A- Yes 是 (67)  B- No 否 (107)
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2	How often do you think listed corporations fail to disclose price sensitive information (PSI) to the public? 您認爲上市公司未能向公衆披露其股價敏感資料的情况發生有多頻繁?
	A- Never 從不 (2)  B- Rarely 很少 (15)  C- Sometimes 有時 (75)  D- Often 經常 (66)  E- Always 總是 (16)
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3	Why do you think listed corporations fail to disclose PSI to the public? (You may choose more than 1 answer) 您認爲上市公司為何未能向公衆披露其股價敏感資料? (可多選)
	A- Directors are unaware of the PSI 董事未能察覺存在股價敏感資料 (44)  B- Directors are not sure whether a piece of information is price sensitive or not 董事未能確定該資料是否屬股價敏感資料 (77)  C- Directors deliberately concealed the PSI 董事刻意隱瞞股價敏感資料 (134)  D- Directors used the PSI for insider dealing or market manipulation 董事利用該股價敏感資料作為內幕交易或市場操控 (97)  E- Other 其他, 請說明 (2)
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4	If listed corporations disclose PSI in a timely manner to the public, what do you think would be the benefits (if any)? (You may choose more than 1 answer) 如果上市公司能夠及時披露其股價敏感資料, 您認爲有哪些好處? (可多選)
	A- Greater investor protection 更好保障投資者利益 (127)  B- Greater market transparency 提高市場透明度 (147)  C- Greater market fairness 提高市場公平性 (129)  D- Enhanced market quality 提高市場質量 (79)  E- Reduced investment risk 減低投資風險 (82)  F- Maintenance of Hong Kong’s position as a leading international financial market 維持香港領先國際金融市場的地位 (77)  G- Improved corporate governance 改善公司管治 (68)  H- I do not think there are any benefits 我不認為有任何好處 (3)  I- Other 其他, 請說明 (0)
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5	What do you think are the problems (if any) with requiring listed corporations to disclose PSI to the public in a timely manner? (You may choose more than 1 answer) 您認爲要求上市公司及時披露其股價敏感資料會產生哪些問題? (可多選)
	A- Disclosure cannot improve the accuracy of the share price 披露未能準確反映股價 (47)  B- Disclosure may benefit the company’s competitors 披露或會令競爭對手得益 (71)  C- Disclosure may require additional resources (e.g. extra manpower, high administrative costs) 披露或需額外資源(如額外人力、更高行政成本) (68)  D- Disclosure may not help minimize an investor’s risk of financial loss 披露未能有助減低投資者財務損失的風險 (36)  E- Disclosure may cause information overflow in the market 披露或會導致市場資訊泛濫 (42)  F- I do not think there are any problems 我不認為有任何問題 (38)  G- Other 其他, 請說明 (2)
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6	How important is it to you that a listed corporation discloses PSI in a timely manner? 上市公司及時披露其股價敏感資料對您有多重要？
	A- Not important 不重要 (7)  B- Somewhat important 有些重要 (45)  C- Important 重要 (82)  D- Very important 非常重要 (40)
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7	What should be the appropriate time frame for disclosure under the proposed statutory regime? 您認爲公司應該在多快時間內進行披露？
	A- Within 3 days 三天內 (62)  B- Within 7 days 一周內 (41)  C- Within 2 weeks 兩周內 (15)  D- As soon as practicable 實際可行時 (56)
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8	Do you think the current disclosure obligations contained in the Listing Rules# (which have no legal force) are effective? 您認爲目前港交所《上市規則》(無法律約束力) 中包含的披露責任是否有效？
	A- Yes 是 (go to Question 9 請回答第9題) (32)  B- No 否 (go to Question 10 請回答第10題) (142)
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9	Why do you think the existing disclosure obligation regime is effective? 您為何認爲目前的披露制度是行之有效?
	A- Listed corporations can self regulate to disclose PSI 上市公司能夠自行規管披露股價敏感資料 (9)  B- Disciplinary action by The Stock Exchange of Hong Kong Limited (“SEHK”) can enforce continuous disclosure by listed corporation 港交所的執法行動已能有效規管上市公司持續披露 (25)  C- The contractual force of the Listing Rules regarding continuous disclosure obligations is sufficient in binding the listed corporations 《上市規則》的合約效力已足夠約束上市公司履行披露責任 (13)  D- Other 其他, 請說明 (2)
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10	Do you agree that the government should enact legislation to oblige listed corporations to disclose PSI in a timely manner? 您同意政府應該通過立法强制上市公司披露其股價敏感資料？
	A- Yes 是 (158)  B- No 否 (16)
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11	What kind of information should be exempted from continuous disclosure under the proposed statutory regime? (You may choose more than 1 answer) 您認爲下方選項中哪些應被豁免爲必須持續披露的股價敏感資料? (可多選)
	A- Trade secret 商業祕密 (116)  B- Ongoing negotiation of contract or other proposal not finalized yet 談判中的合約或未完成的提案 (114)  C- Disclosure would have an adverse effect on the overall stability of Hong Kong’s financial market 披露會對香港整體金融市場穩定造成損害 (74)  D- Information about a related overseas company 資訊與海外關聯公司有關 (19)  E- Litigation or arbitration 訴訟或仲裁 (51)  F- Other 其他, 請說明 (2)
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12	Which of the following do you consider as the price sensitive information which should be disclosed? (you may choose more than 1 answer) 您認爲下方選項中哪些應該作爲必須披露的股價敏感資料？(可多選)
	A- Changes in business performance 業務表現改變 (124)  B- Changes in financial condition 財務狀況改變 (139)  C- Changes in values of hedging contracts / derivatives 對沖合約/衍生工具價值改變 (105)  D- Foreign currency exposure 外匯風險改變 (91)  E- Profit warnings 盈喜/盈警 (125)  F- Mergers and acquisitions 收購合併 (126)  G- Changes in Auditors 改換核數師 (72)  H- Changes in key management personnel 改換核心管理層 (119)  I- Rumours related to the price sensitive information 與股價敏感資料相關的謠言 (71)  J- Trade secret 商業秘密 (14)  K- Other 其他, 請說明 (1)
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13	Which should be the appropriate enforcement agency? 您認爲哪個機構應該負責執法?
	A- SFC 證監會 (141)  B- SEHK 港交所 (11)  C- ICAC 廉政公署 (15)  D- Police 警察 (5)  E- Other 其他, 請說明 (2)
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14	If there is a breach of the disclosure requirement, what do you think is the most appropriate sanctions? 如果某公司違反了其披露責任，您認爲最合適的制裁措施是什麼？
	A- Issue a warning 提出警告 (8)  B- Fines on the company 罰款 (25)  C- Removal from listing 取消其上市資格 (28)  D- Trading suspension of the listed securities 暫停其上市證券交易 (62)  E- Imprisonment of director(s) who failed to do so 關押失職董事 (24)  F- Suspension of the breaching director(s) from management 將失職董事停職 (24)  G- Other 其他, 請說明 (3)
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15	If investors suffered significant monetary/pecuniary loss as a result of the breach of disclosure requirement, what kind of remedies would be proper in your opinion? 如果投資者因爲公司違反其法定披露責任蒙受巨大金錢的損失，你認爲怎樣的救濟比較 合適？
	A- Financial compensation 經濟賠償 (125)  B- Injunction 禁令 (25)  C- Disgorgement 交出利潤 (22)  D- Other 其他, 請說明 (2)
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16	Should listed corporations have the responsibility to clarify to rumors that are likely to have an impact on the price of their securities? 您認爲上市公司有沒有責任澄清可能對其股價造成影響的謠言？
	A- Yes 有 (131)  B- No 沒有 (43)
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17	Please choose the most appropriate channel to disseminate PSI to the public. 請從下方列表中選取1項對您來說最適合的途徑來發表股價敏感資料
	A- SEHK 港交所 (79)  B- Websites of listed corporations 公司網頁 (20)  C- Company circulars 公司通告 (7)  D- Annual/quarterly reports of listed corporations 年度/季度報告 (14)  E- Press conference of listed corporations 記者招待會 (27)  F- Newspapers 報紙 (20)  G- Radio 電台 (1)  H- Television 電視 (5)  I- Other 其他, 請說明 (1)
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18	Please provide your gender and age 請提供你的性別及年齡
	A- Male 男 (83)  B- Female 女 (41)  C- < 18 (0)  D- 18-24 (17)  E- 25-36 (78)  F- 37-48 (41)  G- 49-64 (25)  H- >64 (6)
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19	What is the highest academic qualification that you have obtained? 請選擇您所獲的最高學歷
	A- Secondary or primary graduation 高中或以下學歷 (18)  B- Associate Degree or High Diploma 副學士或高級文憑 (17)  C- University degree 本科 (63)  D- Master’s degree 碩士 (72)  E- Doctor’s degree (or above) 博士或以上 (4)
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20	What is your occupation? 請問您的職業？
	A- Architecture and Construction建築 (27)  B- Banking and Finance 銀行及金融 (31)  C- Design 設計 (4)  D- Education 教育 (14)  E- Government 政府 (5)  F- Hotel and Tourism 酒店及旅遊 (2)  G- Housewife 家庭主婦 (4)  H- Legal 法律 (9)  I- Medical 醫療 (1)  J- Sales and Retails 零售 (5)  K- Self-employed 自顧 (11)  L- Student 學生 (22)  M- Transportation/ Logistics 交通/物流 (7)  N- Other 其他 (32)
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