Lufax Regains Compliance with NYSE Continued Listing Standard

Rhea-AI Summary

Lufax (NYSE: LU) announced it has regained compliance with NYSE continued listing standards after filing its Form 6-K with semi-annual financials for the six-month period ended June 30, 2025.

The NYSE confirmed on April 30, 2026 that Lufax is current with periodic SEC filings, will be removed from the late filers' list, and the "LF" indicator will be cleared. The company previously delayed its 2024 Form 20-F due to an auditor change but filed that 20-F on February 17, 2026 within the NYSE extension.

Positive

• Regained NYSE compliance by filing Form 6-K for six months ended June 30, 2025
• NYSE confirmed removal from late filers' list and cleared the "LF" indicator
• Filed 2024 Form 20-F on February 17, 2026 within NYSE extension
• Appointed Ernst & Young and Ernst & Young Hua Ming as new auditors in 2025

Negative

• Delay in filing 2024 Form 20-F caused by auditor change
• Company previously listed on NYSE late filers' list until compliance was restored

News Market Reaction – LU

-3.47%

-3.47% News Effect

On the day this news was published, LU declined 3.47%, reflecting a moderate negative market reaction.

Data tracked by StockTitan Argus on the day of publication.

Market Context

This announcement confirms Lufax has regained compliance with NYSE continued listing standards after...

Analysis

This announcement confirms Lufax has regained compliance with NYSE continued listing standards after completing its delayed SEC filings, including a Form 20-F and semi-annual Form 6-K. Recent disclosures show income of RMB 14,084,249 thousand and a net loss of RMB 518,975 thousand for the six months ended June 30, 2025, plus substantial equity of RMB 83,100,067 thousand. Investors may monitor future filings, board stability, and loss trends alongside this restored compliance status.

Key Figures

Total income (H1 2025): RMB 14,084,249 thousand Total income prior period: RMB 12,034,039 thousand Net loss (H1 2025): RMB 518,975 thousand +5 more

8 metrics

Total income (H1 2025) RMB 14,084,249 thousand Six months ended June 30, 2025

Total income prior period RMB 12,034,039 thousand Six months ended June 30, 2024

Net loss (H1 2025) RMB 518,975 thousand Six months ended June 30, 2025

Net loss prior period RMB 2,297,474 thousand Six months ended June 30, 2024

Total assets RMB 195,392,030 thousand As of June 30, 2025

Loans to customers RMB 103,418,445 thousand As of June 30, 2025

Total equity RMB 83,100,067 thousand As of June 30, 2025

Shares outstanding 1,733,377,784 shares As of December 31, 2025

Historical Context

5 past events · Latest: Apr 30 (Neutral)

Pattern 5 events

Date	Event	Sentiment	24h Move	Catalyst
Apr 30	Regulatory filing	Neutral	+2.7%	Annual Report on Form 20-F filed for fiscal year ended Dec 31, 2025.
Apr 27	Executive appointment	Neutral	-1.0%	Appointment of new Chief Compliance Officer with extensive regulatory experience.
Apr 27	AGM announcement	Neutral	-1.0%	Announcement of Annual General Meeting date and record date details.
Apr 13	Board changes	Neutral	+1.1%	Changes in board and committee composition with new independent directors.
Mar 27	Executive resignation	Negative	-3.7%	General Manager resignation effective Mar 31, 2026 citing personal work arrangement.

24h Move is the share-price change in the day after each event; other market factors may also have contributed.

Pattern Detected

Recent LU headlines have largely been governance and filing-related, with modest single-day reactions that mostly align with the neutral-to-slightly-negative tone of events such as leadership changes and regulatory updates.

Recent Company History

Over the last months, Lufax has focused on governance stability and regulatory compliance. It filed its Annual Report on Form 20-F on April 30, 2026, appointed a new Chief Compliance Officer on April 27, 2026, and set its AGM for June 30, 2026. Board reshuffles were disclosed on April 13, 2026, and the General Manager’s resignation on March 31, 2026 weighed more negatively. Today’s NYSE compliance announcement extends this pattern of disclosure and regulatory alignment.

Key Terms

form 6-k, new york stock exchange, u.s. securities and exchange commission, form 20-f, +1 more

5 terms

form 6-k regulatory

"following the filing of its Form 6-K with the semi-annual financials"

A Form 6-K is a report that companies listed in certain countries file to provide important updates, such as financial results, corporate changes, or other significant information, to regulators and investors. It functions like an official company update or news release, helping investors stay informed about developments that could affect their investment decisions.

new york stock exchange regulatory

"regained compliance with the New York Stock Exchange ("NYSE") continued listing standards"

The New York Stock Exchange is a marketplace where people buy and sell shares of publicly traded companies. It functions like a busy trading hub, helping investors transfer ownership of company parts and providing a way to gauge how well businesses are doing. Its role is vital because it offers liquidity and transparency, making it easier for investors to buy and sell investments confidently.

u.s. securities and exchange commission regulatory

"with the U.S. Securities and Exchange Commission ("SEC")"

The U.S. Securities and Exchange Commission is a government agency responsible for overseeing the stock market and protecting investors. It sets rules to ensure that companies share truthful information and that trading is fair, helping to maintain trust in the financial system. This oversight is important because it helps prevent fraud and ensures that investors can make informed decisions.

form 20-f regulatory

"delay in filing its annual report on Form 20-F for the fiscal year ended December 31, 2024"

Form 20-F is the standardized annual disclosure that non-U.S. companies must file with the U.S. securities regulator when their shares are traded in the U.S.; it contains audited financial statements, a plain-language description of the business, management discussion, governance details and key risk factors. It matters to investors because it provides a consistent, comparable company “report card” and rulebook, helping buyers assess financial health, governance and risks before investing.

nyse listed company manual regulatory

"compliant with Section 802.01E of the NYSE Listed Company Manual"

A NYSE Listed Company Manual is the rulebook that sets the standards and obligations companies must meet to trade on the New York Stock Exchange, covering eligibility, ongoing disclosure, corporate governance and trading procedures. For investors it matters because the manual enforces transparency and minimum safeguards—like a building code for markets—so shareholders can trust that listed companies provide timely information and meet basic financial and governance standards.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SHANGHAI, May 6, 2026 /PRNewswire/ -- Lufax Holding Ltd ("Lufax" or the "Company") (NYSE: LU and HKEX: 6623), a leading financial services enabler for small business owners in China, today announced that it has regained compliance with the New York Stock Exchange ("NYSE") continued listing standards following the filing of its Form 6-K with the semi-annual financials for the six-month period ended June 30, 2025 with the U.S. Securities and Exchange Commission ("SEC").

The Company received a letter from the NYSE dated April 30, 2026, confirming that the Company had become current with its periodic SEC filings and compliant with Section 802.01E of the NYSE Listed Company Manual. As a result, the Company will be removed from the NYSE's late filers' list and the "LF" (late filer) indicator associated with the Company's securities will be removed from NYSE systems.

As previously disclosed, the Company experienced a delay in filing its annual report on Form 20-F for the fiscal year ended December 31, 2024 (the "2024 20-F") due to a change in the Company's auditors. The Company appointed Ernst & Young and Ernst & Young Hua Ming LLP as its new auditors in 2025 and received an extension from the NYSE through April 30, 2026 to file the 2024 20-F.

The Company filed its 2024 20-F with the SEC on February 17, 2026, within the extension period granted by the NYSE. Subsequently, on April 30, 2026, the Company filed its Form 6-K with semi-annual financials for the six-month period ended June 30, 2025, bringing it current with its periodic SEC filings and achieving compliance with Section 802.01E of the NYSE Listed Company Manual.

About Lufax
Lufax is a leading financial services enabler for small business owners in China. Lufax offers financing products designed to address the needs of small business owners and others. In doing so, Lufax has established relationships with 87 financial institutions in China as funding partners, many of which have worked with Lufax for over three years.

Investor Relations Contact
Lufax Holding Ltd
Email: Investor_Relations@lu.com 

ICR, LLC
Robin Yang
Tel: +1 (646) 308-0546
Email: lufax.ir@icrinc.com

View original content:https://www.prnewswire.com/news-releases/lufax-regains-compliance-with-nyse-continued-listing-standard-302764800.html

SOURCE Lufax Holding Ltd

FAQ

Why did Lufax (NYSE: LU) regain NYSE compliance on May 6, 2026?

Lufax regained compliance by filing its Form 6-K with semi-annual financials for the period ended June 30, 2025. According to the company, the NYSE confirmed it was current with periodic SEC filings and compliant with Section 802.01E on April 30, 2026.

What filings did Lufax submit to become current with the SEC and NYSE?

Lufax filed its 2024 Form 20-F on February 17, 2026 and a Form 6-K with semi-annual financials on April 30, 2026. According to the company, these filings brought it current with periodic SEC requirements and NYSE listing standards.

What does removal of the "LF" indicator mean for Lufax (LU) shareholders?

Removal of the "LF" indicator means Lufax is no longer flagged as a late filer on NYSE systems. According to the company, the NYSE will remove it from the late filers' list, which may reduce administrative listing risk visibility.

Did an auditor change affect Lufax's 2024 Form 20-F timing and who are the new auditors?

Yes. A change in auditors delayed the 2024 Form 20-F filing; Ernst & Young and Ernst & Young Hua Ming were appointed in 2025. According to the company, the 20-F was filed within the NYSE extension period.

When was Lufax confirmed as compliant by the NYSE and what standard applied?

The NYSE confirmed compliance on April 30, 2026 under Section 802.01E of the NYSE Listed Company Manual. According to the company, that confirmation followed the company becoming current with periodic SEC filings.