Basic Information

Name: Hong Kong Securities and Futures Commission

Abbreviation: Hong Kong (SFC)


Agency presentation
Hong Kong (SFC)

The Securities and Futures Commission (SFC) of Hong Kong was established in 1989. It is an independent statutory body responsible for overseeing the operation of Hong Kong’s securities and futures markets. The Securities and Futures Ordinance and subsidiary legislation empower the SFC to investigate, correct and disciplinary actions. SFC operates independently of the Hong Kong Special Administrative Region government, and its funding mainly comes from transaction levies and license fees. As the financial regulatory agency of the international financial center, the SFC has been committed to strengthening and maintaining the integrity of Hong Kong’s securities and futures markets, so as to protect the interests of investors and the industry.

More information

Supervised companies ADS Securities Dahui, KVB Kunlun International, Forex Jiasheng

Regulatory characteristics
The Hong Kong Securities Regulatory Commission is a statutory regulatory agency authorized by the Hong Kong government, and it performs statutory regulatory duties. The responsibility is to supervise and administer the Hong Kong securities and futures market in a unified manner, maintain the trading order of the securities and futures market, and ensure its legal operation.

Introduction to Regulators
The Hong Kong Securities and Futures Commission (Hong Kong Securities Regulatory Commission) is a statutory organization independent of the government’s civil service structure and is responsible for overseeing the operation of Hong Kong’s securities and futures markets. The purpose of the organization is to promote the development of Hong Kong’s securities and futures markets in a fair, efficient and orderly direction through effective supervision and guidance.

Regulatory responsibilities
Maintain and promote the fairness, efficiency, competitiveness, transparency and order of the securities and futures industry. Our scope of work includes: · formulating and implementing market regulations, including investigating cases of violations and market misconduct; · licensing and supervising intermediaries that conduct activities regulated by the Securities Regulatory Commission; · monitoring exchanges, clearing houses, and stocks The operation of market operators such as registration agencies and alternative trading platforms, and assistance in optimizing market infrastructure; · Pre-approval of investment products to be sold to the public and their sales documents; · Overseeing merger and acquisition regulations applicable to public companies, and monitoring Hong Kong The Stock Exchange of Hong Kong Limited’s performance in regulating listing matters; Cooperating and providing support with local and overseas regulatory agencies; and assisting investors in understanding market operations, investment risks, and their own rights and responsibilities. The SFC is responsible for the supervision of finance and investment in Hong Kong One of the four financial regulatory agencies in the field. The four regulators work closely to ensure that market participants uphold good ethics and to curb financial crime and misconduct.

How to complain
Complete the online complaint form and explain the rationale: form/· Write to the Association, the address is 35th Floor, Cheung Kong Center, 2 Queen’s Road Central, Hong Kong; or email to; or fax to 852 2524 3718; or call 852 2231 1222 (after selecting the desired language Press 2) to make an appointment with us. · If your complaint involves an unlicensed company or person carrying out a regulated activity, please fill in the “Complaint against Unlicensed Company Form” · /lodge-a-complaint/against-intermediaries-and-market-activities/complaint-form-on-unlicensed-firms/. · You can check whether a person or a company has been licensed or registered with the SFC in the public register of licensed persons and registered institutions of the Commission. · The SFC can take disciplinary actions against licensees or prosecute offenders. However, the SFC does not have the legal power to issue compensation orders, nor can it arbitrate disputes between investors and third parties.

How to check

  1. SFC’s regulatory objects: Brokerage houses, investment consultants, fund managers and intermediaries engaged in the following activities: securities trading, futures contract trading, leveraged foreign exchange trading, providing advice on securities, advising on futures contracts, and providing advice on institutional financing Opinions, provide automated trading services, provide securities margin financing, provide asset management, provide credit rating services; investment products; listed companies; Hong Kong Exchanges and Clearing Limited (HKEx); automated trading service providers; authorized share registry institutions ; Investor compensation limited companies; market participants (including investors)
  2. Supervisory measures: Supervisory measures of the nature of assessment, monitoring, prevention, sanctions or remediation.
  3. Check the supervision link: locale=zh Check whether you have foreign exchange qualifications: Regulated activities include “Leveraged Foreign Exchange Trading” (Leveraged Foreign Exchange Trading) List of all unlicensed companies: .html List of Chinese unlicensed companies:

How to regulate
Hong Kong’s Securities and Futures Commission (SFC)’s supervision approach · Establish licensing criteria to ensure that all practitioners are appropriate and suitable for licensing · Approval of licenses and maintain a public register of licensees · Issue codes and guidelines to enable the industry Be aware of the level of ethics required by the SFC · Monitor the financial stability of licensees and comply with all relevant laws, codes, guidelines, rules and regulations · Handle complaints against licensees’ misconduct · Act on misconduct Investigate and take action.

Previous post: Huatai Micro Classroom | The Origin and History of Comic Steel