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Online Complaint Form

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Please complete this form if you wish to make a complaint to the Securities and Futures Commission (SFC) about intermediaries’ conduct, public offerings of securities, market misconduct, listed companies misconduct or takeovers.

1. Complainant's details

(Please select as appropriate)

Full name*
First four digits of identity card / passport*
Postal address*
Telephone number*
Email address (if any)

#If you wish to appoint an authorised person to handle the complaint, please also complete Part 7 Appointment of representative for individual complainant.


Note: I understand that if I do not provide the information specified in the mandatory fields, including my full name, first four digits of identity card/passport, postal address and telephone number, the SFC will treat this complaint as an anonymous complaint and will not provide any response to me.

2. Who are you complaining against?

Full name of the person / company complained against
Email address (if any)
Telephone number
SFC Licence number (if any)

Are you a client of the company complained against?
Account number
Account type (eg. securities or futures, etc)
Name of account holder
Have you made any investment via the company?
Type of investment
Transaction date (date / month / year)
Disputed amount
Did the matter complained of happen in Hong Kong?

3. What are you complaining about?

What is the nature of your complaint? Please tick as appropriate.

4. Complaint details

Please elaborate your allegations in chronological order

5. List of documents in support of your complaint

Are you able to give us any documents supporting the events that you describe (eg, client agreement, contract notes, account statements, correspondence, marketing materials, brochure, leaflet)?
(Please enclose photocopies of all relevant documents.)
Document Name

6. Actions you have taken

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

Date of previous complaint

Reference number (if known)

Have you complained to the entities complained against in Part 2 above, other regulators/organisations or the police? If yes, please provide the relevant information below:

Name of the entities complained against, other regulators/organisations, or the police you have lodged the same complaint with

Date of complaint

Reference number of your complaint (if any)

Investigation result (if any)


Please enclose a photocopy of your complaint letter and where appropriate the reply of the entities complained against, other regulators/organisations, or the police.

7. Appointment of representative for individual complainant

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

I authorise

to handle my complaint on my behalf, including submitting information, enquiring about the progress of my complaint, and receiving information and documents (which may include personal information and data) from the SFC.

Representative’s correspondence/email address

Representative’s telephone number

8. Important information

Consent to the SFC
For the purpose of handling this complaint, I (please tick as appropriate)

to the SFC disclosing this complaint and my personal information contained herein to:
(please tick as appropriate)

I understand that if I do not select “agree”, the SFC may not be able to take the complaint further.

I understand that normally the SFC will not disclose this complaint and my personal information unless I have granted my consent. However, I also understand that, the SFC is exempt from certain principles in the Personal Data (Privacy) Ordinance if the information I provide to the SFC is used for certain purposes related to law enforcement and regulation. The information can then be used for these purposes whether or not a complainant gives consent. For details, please read our Privacy policy statement on our website at www.sfc.hk.

Personal Information Collection Statement of the SFC in respect of Use of Personal Data Collected in Complaints

I acknowledge and understand that:

Data Collection and Use

  1. All information and Personal Data submitted in making a complaint to the SFC (whether in the SFC’s prescribed complaint form or in any document(s) supplied or to be supplied or in any subsequent telephone conversations with the SFC) will be used, disclosed or transferred only for those purposes related to the complaint, for discharging the SFC's statutory functions, or where permitted or required by law. The provision of my personal data is voluntary. If the information provided is inaccurate or incomplete, consideration of my complaint may be affected.
  2. All information and Personal Data provided to the SFC may be disclosed to relevant courts, panels, tribunals and committees, and/or other local and/or overseas regulatory / government / judicial bodies as permitted or required under the law, pursuant to any regulatory / supervisory / investigatory assistance arrangements between the SFC and other regulators (local / overseas), or persons engaged by the SFC to assist the SFC in the performance of its statutory functions.

Access and Correction

  1. Should I wish to request access to and/or correction of my Personal Data held by the SFC, I may do so by completing a Data Access Request Form, which can be downloaded from the SFC’s website at www.sfc.hk, and sending it to the Data Privacy Officer of the SFC at 54th Floor, One Island East, 18 Westlands Road, Quarry Bay, Hong Kong.

9. Confirmation


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

Last update: 27 Jul 2022

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