Lufax (NYSE: LU) back in compliance with NYSE listing rules
Rhea-AI Filing Summary
Lufax Holding Ltd has regained compliance with New York Stock Exchange continued listing standards after catching up on its U.S. SEC reporting. The NYSE sent a letter dated April 30, 2026 confirming the company is current with its periodic filings and compliant with Section 802.01E of the NYSE Listed Company Manual.
Lufax had earlier delayed its annual report on Form 20-F for the year ended December 31, 2024 due to a change of auditors, appointing Ernst & Young and Ernst & Young Hua Ming LLP in 2025. It filed the 2024 Form 20-F on February 17, 2026 and a Form 6-K with semi-annual financials for the six-month period ended June 30, 2025 on April 30, 2026, bringing its SEC filings up to date.
As a result, Lufax will be removed from the NYSE late filers’ list and the late filer indicator will be taken off its securities. The company describes itself as a leading financial services enabler for small business owners in China, with relationships with 87 funding partner financial institutions.
Positive
- Lufax regains NYSE listing compliance, with an April 30, 2026 NYSE letter confirming it is current with SEC periodic filings and compliant with Section 802.01E, leading to removal from the NYSE late filers’ list and elimination of the late filer indicator on its securities.
Negative
- None.
Insights
Regaining NYSE compliance removes a key listing overhang for Lufax.
Lufax Holding Ltd confirmed it is now compliant with NYSE continued listing standards after becoming current on its SEC filings, including the delayed 2024 Form 20-F and a Form 6-K with semi-annual 2025 financials. This follows an auditor change to Ernst & Young firms in 2025.
Earlier filing delays had placed Lufax on the NYSE late filers’ list with a visible late filer indicator on its securities. The NYSE’s April 30, 2026 letter and removal of that flag reduce perceived procedural and delisting risk tied to reporting timeliness, shifting focus back toward underlying business performance.
Lufax highlights relationships with 87 financial institution funding partners and its positioning as a financial services enabler for small business owners in China. Future company disclosures can further clarify operational trends, but the immediate listing-compliance concern referenced in this notice has been addressed.
Key Figures
Key Terms
continued listing standards regulatory
Section 802.01E of the NYSE Listed Company Manual regulatory
late filers’ list regulatory
Form 20-F regulatory
Form 6-K regulatory
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of May 2026
Commission File Number 001-39654
Lufax Holding Ltd
(Registrant’s name)
18th Floor, No. 1333
Lujiazui Ring Road
Pudong New District, Shanghai
People’s Republic of China
(Address of principal executive office)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F. Form 20-F ☒ Form 40-F ☐
Exhibit Index
Exhibit 99.1—Press Release—Lufax Regains Compliance with NYSE Continued Listing Standard
Exhibit 99.2—Announcement with The Stock Exchange of Hong Kong Limited - Lufax Receives NYSE Notice Regarding Compliance with NYSE Continued Listing Standard
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Lufax Holding Ltd | ||||||
| By: | /s/ Tongzhuan Xi | |||||
| Name: | Tongzhuan Xi | |||||
| Title: | Chief Financial Officer | |||||
| Date: May 7, 2026 | ||||||
Exhibit 99.1
Lufax Regains Compliance with NYSE Continued Listing Standard
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
1
Exhibit 99.2
Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this announcement.
Lufax Holding Ltd
陆 金 所 控 股 有 限 公 司
(Incorporated in the Cayman Islands with limited liability)
(Stock Code: 6623)
(NYSE Stock Ticker: LU)
LUFAX RECEIVES NYSE NOTICE REGARDING COMPLIANCE
WITH NYSE CONTINUED LISTING STANDARD
Reference is made to the announcements of Lufax Holding Ltd (the “Company”) dated May 13, 2025 and October 30, 2025 (the “Announcements”), in relation to the extension granted by the New York Stock Exchange (the “NYSE”) for the filing of its annual report on Form 20-F for the year ended December 31, 2024 (the “2024 20-F”). Unless otherwise defined, capitalised terms used in this announcement shall bear the same meanings as those defined in the Announcements.
The Company announces that it received a letter from the NYSE dated April 30, 2026, confirming that the Company had become current with its periodic filings to the U.S. Securities and Exchange Commission (the “SEC”) 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 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 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.
| By order of the Board Lufax Holding Ltd Dicky Peter YIP Chairman of the Board |
Hong Kong, May 7, 2026
As of the date of this announcement, the Board comprises Mr. Xiang JI and Mr. Tongzhuan XI as the executive Directors, Ms. Fangfang CAI, Mr. Shibang GUO and Mr. Peifeng LI as the non-executive Directors, and Mr. Dicky Peter YIP, Ms. Wai Ping Tina LEE, Mr. Koon Wing Ernest IP and Mr. Siu Hong CHENG as the independent non-executive Directors.