Online Complaint Form

Please enter missing fields

1. Complainant's details

(Please select as appropriate)

Full name*
First four digits of HKID / Passport*
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, 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

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.

9. Confirmation

*Mandatory

10. Our performance pledge

We shall send you a preliminary response within two weeks.

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

Last update: 29 Sep 2020

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