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To supervise intermediaries operating in the market, we:

  • Conduct on-site reviews and off-site monitoring to:
    • ascertain and supervise intermediaries' business conduct and compliance with relevant regulatory requirements
    • assess and monitor the financial soundness of intermediaries 
  • Process applications for approval, waiver or modification of various requirements relevant to intermediaries
  • Maintain communication with intermediaries and the industry on relevant policy and regulatory issues

Please click on the links below to find out more:

Supervisory approach

An outline of our supervisory philosophy towards intermediaries, including detailed papers that describe the regulatory framework and supervisory approach

Supervisory actions

An outline of what we do in supervising licensed corporations.

Modifications and waivers

Modifications or waivers granted to intermediaries in respect of the requirements of various subsidiary legislations made under the Securities and Futures Ordinance

Publications and statistics

Reports and reviews resulting from our supervisory work

Last update: 31 Jan 2022

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