Securities & Futures Commission of Hong Kong

Legal Services

The division supports the work of the other divisions and departments by providing legal advice and assistance.  

What we do:

  • Conduct civil and criminal litigation involving the SFC, including giving advice on the sufficiency of evidence, the public interest in prosecution and the viability of the use of different provisions in particular cases, instructing external counsel to represent the SFC in court, preparing cases for court and performing the solicitor role during court hearings
  • Provide legal advice on a range of matters, including statutory interpretation, administrative law, procurement contracts, personnel issues, dual filing cases, takeovers disciplinary cases, risky broker scenarios, amendments to codes and guidelines, MOUs, etc.
  • Handle legislative work including amending the Securities and Futures Ordinance (SFO) and drafting subsidiary legislation under the SFO and the Companies Ordinance
3.6140 s