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Against intermediaries and market activities

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  2. Lodging a complaint
  3. Against intermediaries and market activities
  4. Online Complaint Form
Online Complaint Form

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

Individual complainant

Corporate complainant

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

*Mandatory

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
Value
Address
Value
Email address (if any)
Value
Telephone number
Value
SFC Licence number (if any)
Value
Are you a client of the company complained against?

Yes

No

Account number
Value
Account type
Value
Name of account holder
Value
Have you made any investment via the company?

Yes

No

Type of investment
Value
Transaction date
Value
Disputed amount
Value
Did the matter complained of happen in Hong Kong?

Yes

No

No. Please specify:
Value

3. What are you complaining about?

What is the nature of your complaint? Please tick a box below

Unlicensed activities (eg, trading or advising on securities without holding SFC licence)

Misconduct by licensed persons and firms (eg, misappropriation, unauthorised trading)

Unauthorised collective investment schemes / SFC-authorised products-related matters (eg, disclosure-related, marketing materials, performance-related, breach of regulatory requirements)

Listed companies related (eg, disclosure of information, corporate governance, rights issues, takeovers)

Others (eg, fraud, impersonation)

Others. Please specify:
Value
Unauthorised collective investment schemes / SFC-authorised products-related matters (eg, disclosure-related, marketing materials, performance-related, breach of regulatory requirements)
1) Name of the product complained of
Value
2) Are you an investor of the product?

Yes

No

3) Amount of loss you suffered (if any)
Value
4) Name of the management company/ product issuer/ trustee/ custodian/ intermediary complained of
Value
5) Have you complained to /contacted the management company or product issuer?

If yes, please specify the response from management company or product issuer.
Value
6) Date, time and key events of the complaint
Value
7) Please let us know if your complaint concerns the following aspect(s)

advertisements or marketing materials

disclosure of product-related information

fees and charges

mis-handling of account by intermediaries

mis-selling

pecuniary dispute

pricing

standard of service

structure / design of the product

others

Others. Please specify:
Value
8) What is your complaint?
Value
9) If you complain about the selling of unauthorised collective investment scheme/ other unauthorised products (collectively the Arrangement), please specify whether you were solicited to invest in the Arrangement in Hong Kong:

Yes

No

- Please provide the name and contact information of the marketing agent and/or salesperson who offered the Arrangement to you
Value
- Please provide concrete details on how you get to know about the Arrangement
Value
- Does the complaint involve real estate property?

Yes

No

Name and location of the real estate property:
Value
- Have you declared or signed any documents to declare that you are a professional investor in relation to the investment in the Arrangement?

Yes

No

10) If you complain that advertisements or marketing materials of the fund/ Investment-linked assurance scheme/ product/ the Arrangement are misleading:
- Please specify which part of advertisement you think is misleading
Value
- Please advise where the marketing materials are/were distributed or how you obtained the marketing materials
Value
11) Please advise whether you identified any breach or non-compliance with SFC’s codes, guidelines or rules by the fund and/or the management company or product issuer, if any.

Yes

Yes, please elaborate:
Value

No

Not sure

4. Complaint details

Please elaborate your allegations in chronological order
Value

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.)

Yes

No, I do not have any supporting document.

Yes, please specify:
File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

File name:
Value

The documents will be uploaded to the SFC with the complaint form.
(Please upload files eg, in JPEG, PDF, Word, Excel, PowerPoint, zip, msg format not larger than 4MB each; no more than 10 files)

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 Bay, Hong Kong.

6. Actions you have taken

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

Yes

No

Date of previous complaint
Value
Reference number (if known)
Value
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
Value
Date of complaint
Value
Reference number of your complaint (if any)
Value
Investigation result (if any)
Value

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
Value
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:
Value
Representative’s telephone number:
Value

8. Important information

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

Agree

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

the subject(s) of the complaint and their related entities.

other regulators if the complaint relates to their remit.

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

I confirm that :*
(1) the information provided in this Complaint Form is true, complete and accurate.
(2) I understand that if I do not provide the information specified in the mandatory fields in Part 1 Complainant’s details, the SFC will treat this complaint as an anonymous complaint and will not provide any response to me.
(3) I understand that in order to handle my complaint, any subsequent telephone conversations with the SFC will be recorded.

*Mandatory

Please enter missing fields

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.

*Mandatory

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
Address
Email address (if any)
Telephone number
SFC Licence number (if any)
Add
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
Add

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)

Add

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

*Mandatory

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

Last update: 27 Jul 2022

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