Online Complaint Form

1. Complainant's details

Title

Mr Mrs Ms Miss

Last name

First name

Address

Email address

Telephone number

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.

2. Information about your complaint

What is the nature of your complaint? Please tick a box below (you can select more than one):

Unlicensed activities (eg, trading or advising on securities without holding SFC licence)
Misconduct by licensed persons and firms (eg, misappropriation, unauthorised trading)
Collective investment schemes
Listed companies related (eg, rights issues, takeovers)
Others (eg, scam, impersonation)

Please provide the full name and particulars (eg, address, phone number, email address, website, CE number* or stock code) of the parties against which the complaint is made.

Full name of the parties complained of

Particulars

Add

* 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.

3. Complaint details

Where did the matter you wish to complain about happen?

Hong Kong
Outside Hong Kong
Others

Allegations

Please elaborate your allegations (eg, date, time, place, parties involved, etc)

4. Other details

(eg, bank accounts in Hong Kong for settlement)

5. List of documents in support of your complaint

Are you able to provide any documents supporting the events that you describe (eg, client agreements, contract notes, account statements, correspondence, marketing materials, brochures, leaflets)?
(Please enclose photocopies of all relevant documents.)

Yes, please specify
No, I do not have any supporting document

Document Name

The documents will be uploaded to the SFC with the complaint form

(Please upload files eg, in JPEG, PDF format not larger than 4MB each; no more than four ents.)

The documents will be emailed to the SFC at complaint@sfc.hk
The documents will be sent to the SFC by post at
54/F, One Island East, 18 Westlands Road, Quarry Hong Kong

Add

6. Actions you have taken

Have you previously lodged a complaint with the SFC, which is related to the current one?

Yes
No

Please indicate whether you have lodged the same complaint with the company named in Section 2 above, other regulators/organisations or the police, and provide the relevant information below:

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):

Add

7. Appointment of representative

If you wish to appoint a representative to handle your complaint on your behalf, please complete the following:

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 name

Representative's correspondence/email address

Representative’s telephone number

8. Important information

1. Consent to disclose complaint details and complainant's personal data to the parties complained of and all related entities. (NOTE: Without this consent, the SFC may not be able to take any further action.)

I agree to the SFC disclosing my personal data and information about this complaint to the parties complained of and all related entities for the purpose of handling the complaint.
I disagree to the SFC disclosing my personal data and information about this complaint to the parties complained of and all related entities. (NOTE: If you disagree, the SFC may not be able to take any further action.)

2. Consent to disclose your personal data and complaint details to other regulators and organisations if the matter falls under their remit (eg, The Stock Exchange of Hong Kong, Insurance Authority, Hong Kong Monetary Authority, overseas regulators). (NOTE: Without this consent, the SFC may not be able to take any further action.)

I agree to the SFC disclosing my personal and information of this complaint to other regulators and organisations if the matter relates to their remit for the purpose of handling the complaint.
I disagree to the SFC disclosing my personal data and information of this complaint to other regulators and organisations. (NOTE: If you disagree, the SFC may not be able to take any further action.)

3. Release of information

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.

4. Anonymous complaint or complainant with no full name

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.

5. Secrecy provision of the Securities and Futures Ordinance

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.

6. I confirm that the information provided in this Complaint Form is true, complete and accurate.

9. Our performance pledge

We shall send you a preliminary response within two weeks.

You will receive our auto acknowledgement by email upon successful submission of your complaint.