Our Performance Pledges
In discharging our regulatory duties, we pledge to be responsive to the general public, market participants, and intermediaries under our supervision.
 

Service

Target
Investor Enquiries Preliminary response to telephone enquires 4 business days
Preliminary response to written enquiries 2 weeks

Public Complaints

Preliminary response to verbal and written complaints

2 weeks

General Enquiries Preliminary response to enquiries via enquiry@sfc.hk 4 business days
Licensing Applications Processing of licence applications from Representatives ( Provisional Licence ) 7 business days
Processing of licence applications from Representatives ( Normal Licence ) 8 weeks
Processing of licence applications from Representatives ( Responsible Officer ) 10 weeks
Processing of licence applications from Corporations 15 weeks
Processing of Change of Accreditation 7 business days
Modification/Waiver and Subordinated Loan Applications Acknowledgement of receipt upon receiving any application 2 business days
Investment Products Authorisation Take-up of applications upon receipt 2 business days
Preliminary response to applications after take-up for unit trusts, mutual funds and investment-linked assurance schemes and MPF pooled investment funds 7/141 business days
Preliminary response to applicants after take-up for other products 14 business days
Note 1

For units trusts and mutual funds, effective from 1 May 2011 the target of 14 business days is applicable for the following types of schemes:

  • new umbrella funds
  • schemes with new management company
  • specialized schemes under Chapter 8 of the Code on Unit Trusts and Mutual Funds
  • UCITS funds that use expanded investment powers
  • schemes with policy implications