If the complaint is being lodged by a company or you wish to appoint an authorised person to handle the complaint, please also complete Section 7. Appointment of representative.
Full name of the parties complained of
* CE number is the Central Entity number of SFC-licensed persons, firms and registered institutions. You can visit our website (www.sfc.hk) and check if the parties complained of are licensed by or registered with the SFC on our Public Register of Licensed Persons and Registered Institutions.
Please elaborate your allegations (eg, date, time, place, parties involved, etc)
(eg, bank accounts in Hong Kong for settlement)
Name of the company or organisation you lodged the same complaint with
Date of complaint:
Reference number if your complaint (if any):
Invertigation result (if any):
I authorise the following person to handle my complaint on my behalf, including submitting information, equiring about the progress of my complaint, and receiving information and
document (which may include personal information and data) from the SFC.
Representative's correspondence/email address
Representative’s telephone number
In reviewing your complaint, the SFC may need to contact the company or person complained of or another authority (eg, The Stock Exchange of Hong Kong, Hong Kong Monetary
Authority) in order to obtain further information, and details of your complaint and your personal data may have to be disclosed to these parties for these purposes.
Notwithstanding the SFC’s policy that your identity should be kept confidential wherever possible, if the information you disclose to the SFC is held or used for certain purposes
related to law enforcement and regulation, the SFC is exempt from the application of data protection principles 3 and 6 (use of personal data and access to personal data) by
Section 58 of the Personal Data (Privacy) Ordinance (Chapter 486 of the Laws of Hong Kong).
The information can then be used for these purposes, whether or not a complainant gives authority. The purposes include the prevention, preclusion or remedying (including
punishment) of unlawful or seriously improper conduct, and protecting the public from financial loss arising from dishonesty, incompetence, malpractice or seriously improper
conduct by persons concerned in the provision of financial services.
While an anonymous complaint will be processed according to our complaints handling procedures, it is not our normal practice to respond to an anonymous complainant or a
complainant who did not provide his or her full name and valid contact information.
We cannot always tell a complainant what we have discovered because we are restrained by law from disclosing information obtained during the performance of our regulatory
functions. There are exceptions to this, for instance, when action stemming from an investigation, such as a prosecution or disciplinary action, is concluded. Such information
will generally be made public by way of a press release.
You will receive our auto acknowledgement by email upon successful submission of your complaint.
Last update: 29 Sep 2020
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