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2. Enhanced complaints handling procedures

The SFC has enhanced its procedures for handling complaints. Under the new process, a designated complaint form has been introduced for members of the public to file complaints with the SFC about intermediaries’ conduct, public offerings of securities, market misconduct, listed companies misconduct and takeovers.

The form is designed to help complainants provide information about their complaints in a clear and organised manner. This will allow the SFC to focus its resources and handle complaints more efficiently.

To file a complaint with the SFC, complainants will need to complete the form and provide valid contact information to enable the SFC to contact them for further information.

The complaint form can be:

• Completed and submitted directly via the SFC’s website.
• Downloaded in PDF format, completed and submitted by email to complaint@sfc.hk or by post.

Last update: 29 Dec 2021