The Commission, as a public body, has a duty to conduct its affairs in a responsible and transparent manner. We have therefore put in place the Grievance Procedures with effect from 1 April 2004. The policy on Public Interest Grievances is intended to assist persons who are engaged by or to work in/with the Commission who believe that they have discovered improper practices or misconduct relating to the running of the Commission or work related activities of employees of the Commission to report these in a constructive manner.

This policy is for any person who has an employment contract with the Commission, is on secondment to the Commission, is engaged as an independent consultant by the Commission or is a contractor or supplier of services to the Commission. Public Interest Grievances might include:

• Criminal activity, such as accepting a bribe;
• Financial or administrative malpractice;
• Misconduct or improper behaviour;
• Failure to comply with legal obligations such as those set out in the Securities and Futures Ordinance;
• Endangering occupational health or safety;
• Attempts to suppress or conceal information relating to any of the above.

Please contact the Commission Secretary of the Securities and Futures Commission if you have any questions.

Grievance Procedures - Public Interest Grievances