Securities & Futures Commission of Hong Kong

Intermediaries

To ensure that Hong Kong's securities and futures industry abides by high standards, we require that individuals and corporations meet qualifying criteria to enter the industry. We also require compliance with the Securities and Futures Ordinance and subsidiary regulatory requirements for intermediaries. Accordingly, our Intermediaries Division plays an important role in the SFC's mission of strengthening the integrity and soundness of the Hong Kong securities and futures markets through our licensing and intermediaries supervision functions.

The Intermediaries Division is structured to align the coverage teams of both the Licensing and Intermediaries Supervision departments around key market segments. This enables us to proactively monitor and supervise licensed persons within a peer group context. This structure also allows the specialised expert teams to focus on forward-looking risks and thematic concerns. Our supervisory approach also takes into account market development trends in Hong Kong, including closer financial linkages to mainland China and greater cross-border international exposure. We cooperate closely with Hong Kong, Mainland and other overseas supervisors. For more information, please see our Approach to Supervision of Intermediaries.

Please click on the links below to find out more about licensing and supervision matters related to intermediaries:

› Licensing

› Supervision

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