Alert List

The Alert List is a list of entities which have come to the attention of the SFC because they are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. You can either search by name or by type to check whether an entity is already on the list. This is not a comprehensive list and new names are coming to our attention all the time. We will add to the list as we hear of new names. If you have been contacted by an unlicensed firm, it would be of assistance to the SFC if you would provide information on your dealings with that firm by completing our online complaint form.

For further information on boiler rooms, scam websites and phishes, please follow the links.

Note: The information contained on the Alert List is provided as an early warning service to investors but is not a substitute for investors conducting their own due diligence by checking up on a particular entity.

Please view the list by selecting the first alphabet that starts off the name of each entry or the sub-group labelled “Chinese” for entities bearing only Chinese names:

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Explanation (Click for details):
Search tips:

This is a keyword search based on exact phrases. To facilitate searching, please only enter the keywords "AAA" in the search field when searching for "AAA Co", "AAA Company", "AAA Ltd", "AAA Limited" or "AAA Inc".

A B C D E F G H I J K L M N O P Q R S T U V W X Y Z Chinese Others
Company name Type Add date
Cabrini Green & Ross, Inc Unlicensed entities 8 Feb 2002
Cadell Acton Group International Unlicensed entities 14 Aug 2013
Cadman Mergers and Acquisition Unlicensed entities 25 Oct 2011
Cahill & Audleman Unlicensed entities 6 Oct 2005
Caledonia Investment Company Limited Unlicensed entities 26 Apr 2018
Caledrane Group Inc Unlicensed entities 24 Jul 2003
Calvin & Gates Holdings Unlicensed entities 28 Aug 2017
Camden Financial Services Unlicensed entities 15 Jun 2016
Campbell Alexander Financial Services Group/Campbell Alexander Limited Unlicensed entities 15 Feb 2012
Canyon International HK Unlicensed entities 28 Feb 2018
Capital Action Limited Unlicensed entities 25 Feb 2014
Capital Alliance International Unlicensed entities 27 Jun 2013
Capital Asset Management Ltd Unlicensed entities 25 May 2004
Capital Eurasia Unlicensed entities 27 Nov 2013
Capital Ever Limited Unlicensed entities 29 Jun 2015
Capital Finance Group Hong Kong Limited Unlicensed entities 21 Aug 2013
Capital Futures Limited Unlicensed entities 15 Mar 2004
Capital Group Finance Unlicensed entities 5 Aug 2014
Capital Investment Global Ltd Unlicensed entities 29 Jun 2015
Capital Management Group Unlicensed entities 24 Jan 2005
Capital Markets Unlicensed entities 17 Apr 2020
Capital Trust Management Unlicensed entities 10 Mar 2017
Capstone Alliance Group Unlicensed entities 12 Aug 2015
Capstone Currency Group Unlicensed entities 12 Aug 2015
Capstone Securities Unlicensed entities 12 Aug 2015
Cardell Limited / Cardell Company Limited Unlicensed entities 18 Sep 2014
Carghill Wright and Associates Unlicensed entities 2 Feb 2010
Carl & Tony Limited Unlicensed entities 18 Jul 2017
Carlson-Schmidt Securities Unlicensed entities 12 Jan 2017
Cartel Group Unlicensed entities 15 May 2013
Carter Flanagan Private Asset Management Unlicensed entities 6 Sep 2017
Carter Sinclair Ltd Unlicensed entities 16 Jun 2009
Carver Brooks and Associates Limited Unlicensed entities 15 May 2007
Casper Holdings Co Ltd Unlicensed entities 30 May 2013
Castle Holdings Limited Unlicensed entities 7 Feb 2017
Castleton Rose Boutique Wealth Management Unlicensed entities 11 May 2018
Cathedral Core Service Limited Partnership Unlicensed entities 14 Nov 2016
CCN Holdings Limited Unlicensed entities 11 Sep 2015
Cedrus Investments (HK) Limited Unlicensed entities 4 Oct 2010
Center Capital Trading Unlicensed entities 7 Jun 2010
Centillion Consultant Limited Unlicensed entities 28 Jul 2017
Central Capital Inc Unlicensed entities 8 Jun 2002
Central Option / Central Provider Ltd Unlicensed entities 15 Jun 2016
Century Commodities Unlicensed entities 1 Sep 2011
Century Holdings Ltd Unlicensed entities 20 Mar 2017
Century International Bullion Limited Unlicensed entities 6 Nov 2018
CES Futures Brokerage Co. Ltd. Unlicensed entities 21 Nov 2008
CF Global Trading Unlicensed entities 28 Jan 2021
CFDStocks Unlicensed entities 12 Jun 2017
CFI HK Group Unlicensed entities 8 Jan 2021
CFX / Huanying International Limited Unlicensed entities 12 Apr 2019
Champion Token Limited Unlicensed entities 28 Jan 2016
Champion Trust Fund Unlicensed entities 28 Jan 2016
Chan Ching Yi Unlicensed entities 31 May 2007
Chancellor Capital LLC Unlicensed entities 7 Jul 2017
Chang Sha Quantum Enterprise Management Consulting Co., Ltd. Unlicensed entities 6 Mar 2015
Changsheng Associates Unlicensed entities 25 Apr 2013
Charles Fleming Co Ltd Unlicensed entities 16 May 2006
Charles van Deursen Unlicensed entities 14 May 2019
Charter One Bank Phishes 20 Apr 2005
Chartered Asset Management Unlicensed entities 19 Aug 2002
Charterhouse Wealth Management Unlicensed entities 25 Oct 2013
Chartmore International Unlicensed entities 25 Jan 2010
Chase Boston Limited Unlicensed entities 10 May 2012
Chase Franklin International Unlicensed entities 8 Oct 2013
Chatex Ltd Unlicensed entities 27 Apr 2010
Cheer Fortune International Investment Management Company Limited Unlicensed entities 12 Mar 2010
Chen Parker Transfer Agency Others 27 Mar 2015
Chengdu Wang Hong Information Consultation Company Limited Unlicensed entities 10 Aug 2010
Cheoy Lee Asset Management Asia Unlicensed entities 6 Oct 2005
Cherryshares Unlicensed entities 19 Nov 2009
China Cosmos Investments Limited Unlicensed entities 19 May 2006
China DengShilei Care Association Company Limited Unlicensed entities 18 Sep 2014
China Emerald Consulting Unlicensed entities 11 May 2016
China Gloay Cultural Artwork Property Exchange Co., Ltd / China Yanhuang Culture and Artwork Property Exchange Co., Ltd Unlicensed entities 13 Nov 2014
China Hong Kong Asset Management Holdings Limited Suspicious websites 16 May 2019
China International Art Property Exchange Unlicensed entities 24 Oct 2016
China International Futures Suspicious websites 25 Jan 2018
China International Futures Suspicious websites 25 Jan 2018
China Mercantile Exchange Unlicensed entities 12 Mar 2010
China Merchants International Corporation Unlicensed entities 31 Aug 2016
China Mineral Company Limited Unlicensed entities 30 Jan 2012
China Pacific Capital Unlicensed entities 24 Jan 2019
China Trillion Capital Limited Unlicensed entities 12 Sep 2019
China Union Group Limited Unlicensed entities 8 Dec 2005
chinablackrock.com Suspicious websites 4 Mar 2016
China-Hong Huaxia Fund Asset Management (Hong Kong) Co., Limited Suspicious websites 14 Jun 2019
ChosunFund Limited Unlicensed entities 21 Sep 2009
Churchill Capital Limited Unlicensed entities 22 Jan 2019
Churchills Mergers and Acquisitions Unlicensed entities 5 Sep 2012
Citi Express Banks Inc Unlicensed entities 18 Aug 2003
Citibank Online Phishes 4 Aug 2004
Citibank Online! Phishes 18 May 2004
Citibank's Citi Identity Theft Solutions Phishes 1 Sep 2004
CITIC Tokyo International Unlicensed entities 13 Apr 2017
Citichamp Investment Limited Unlicensed entities 15 May 2013
Citiexpress Finance & Security Co Ltd Suspicious websites 7 Apr 2004
City Index Suspicious websites 26 Aug 2011
Clanvale Securities Unlicensed entities 23 Oct 2002
Clarity Capital Markets Unlicensed entities 15 Mar 2013
Claybourne Group Unlicensed entities 22 Nov 2012
Clearwater Commodities Unlicensed entities 30 Jul 2010
Clearwater Offshore Limited Unlicensed entities 12 Dec 2014
Clewis Financial Unlicensed entities 9 May 2016
CMC Gao Hua Unlicensed entities 24 Oct 2017
CMIS Global Limited / CMIS Trader Unlicensed entities 19 Oct 2015
CNB Acquisitions Inc Unlicensed entities 7 Mar 2014
CNG Advisors Unlicensed entities 29 Aug 2017
Cogan Davis Associates Limited Unlicensed entities 8 Feb 2002
COLLINGBOURNE GROUP Unlicensed entities 7 Mar 2013
Comlife Investments Limited Unlicensed entities 17 Mar 2015
Commodity and Currency Global Co Ltd Unlicensed entities 20 Jun 2002
Commodity Options Security Exchange Fake regulators and/or market operators 6 Aug 2013
Commonwealth Capital Corporation Limited Unlicensed entities 18 May 2004
Commonwealth Monetary Group Unlicensed entities 8 Mar 2004
Compass Trading Group Limited Unlicensed entities 20 Sep 2018
Complastem Trading Limited Unlicensed entities 25 Aug 2016
Complete Commodities Trading Unlicensed entities 19 Apr 2010
Concord Financial Partners Unlicensed entities 27 Sep 2016
Concordant Group Ltd. Unlicensed entities 23 Mar 2006
Continental Allied Incorporated Unlicensed entities 6 Apr 2005
Continental Futures Unlicensed entities 30 Jul 2019
Continental Trade Unlicensed entities 14 Feb 2011
Conversation Central Network Pty Limited Unlicensed entities 11 Sep 2015
Cooper Chung International Unlicensed entities 17 Oct 2012
Cooper Company Management Unlicensed entities 12 Apr 2011
Cooper&Price Unlicensed entities 11 Jul 2006
Cornerstone Capital Advisers Unlicensed entities 8 May 2013
Cornerstone Worldwide Ltd Unlicensed entities 23 Feb 2009
Cosmo Swiss Management S.A. Unlicensed entities 20 Dec 2011
Covast Limited Unlicensed entities 12 Mar 2010
Cradle Heights Unlicensed entities 18 Dec 2017
Crawford Peale Inc Unlicensed entities 30 Apr 2002
Credit Pacific (Asia) Asset Management Limited Unlicensed entities 8 Jan 2013
Credit Pacific (Asia) Holdings Limited Unlicensed entities 8 Jan 2013
Credit Pacific Bank Limited Unlicensed entities 8 Jan 2013
Credit Pacific Group Unlicensed entities 8 Jan 2013
Credit Suisse Financial Unlicensed entities 16 Nov 2017
Cressida Limited Unlicensed entities 28 Oct 2016
Cressman Financial Group Unlicensed entities 29 Mar 2017
Creston Financial Group GmbH Unlicensed entities 13 Jul 2009
Crestwell Resources Ltd Suspicious websites 4 Dec 2007
Cromwell Associates Pte Ltd Unlicensed entities 15 May 2007
Crossbridge Partners Unlicensed entities 22 Oct 2012
Crossino Holdings Limited Unlicensed entities 5 Oct 2005
Crown Alpha Limited Unlicensed entities 1 Feb 2010
Crown Choice International Limited Unlicensed entities 18 May 2005
Crown Holdings Group Unlicensed entities 22 Aug 2019
Crown Lane Limited Unlicensed entities 15 May 2007
Crown Sense Ltd. Unlicensed entities 18 May 2005
Crown Star Investment Limited Unlicensed entities 1 Apr 2016
Crown Wealth International Unlicensed entities 19 Apr 2010
Crown Will Securities Unlicensed entities 23 Jun 2011
CrownWell International Holdings Limited Unlicensed entities 11 Oct 2011
Crystal Century Investment Unlicensed entities 28 Jun 2018
CSC Asia Pacific Limited Unlicensed entities 27 Feb 2019
CTC Holdings Co Unlicensed entities 27 Feb 2013
CTFOREX Unlicensed entities 14 Sep 2011
CTI China Renaissance Unlicensed entities 10 Oct 2017
CTI Limited Unlicensed entities 12 Dec 2016
Cunningham Mutual Unlicensed entities 15 Jul 2016
CVC Groups Private Capital / CVC Ltd Unlicensed entities 6 Jul 2016
cvc.cvchy.com Suspicious websites 29 Apr 2016
CW Associates Unlicensed entities 6 Oct 2016
CyberSL Suspicious websites 7 Jun 2010
Unlicensed entities

Sometimes entities appear to target Hong Kong investors whilst not having been licensed to carry out regulated activities in Hong Kong. They often adopt names similar to legitimate financial institutions to confuse investors. Alternatively, such unlicensed entities may provide financial investment trading platforms on the Internet. If you deal with a company which is not licensed by the SFC, you may not be protected by the regulatory framework enforced by the SFC.

Deal only with licensed entities and hang up on cold callers. To check whether an entity is an SFC licensee, visit our Public Register of Licensed Persons and Registered Institutions.

Suspicious websites

Dubious websites may offer too-good-to-be-true investment opportunities (e.g. pre-IPO stocks of fabricated companies sold at huge discounts, or funds with guaranteed multiple returns) that do not actually exist. Alternatively, such websites may be fraudulent copycat websites imitating the websites of reputable financial institutions to lure investors to part with their money and/or disclose personal information that the fraudsters may later use to swindle investors.

Do not respond to investment website offers unless you are sure of the legitimacy of the entity.

Phishes

Phishes usually imitate legitimate financial institutions to despatch emails to entice recipients to disclose their credit card / bank account numbers and passwords / Personal Identification Numbers (PINs). If you provide this information, you may find your account is drained of money.

Most legitimate banks will never email you asking for your details or PIN. If in doubt, contact your bank directly.

Fake regulators and/or market operators

Creating a fake regulator and/or market operator website is one of the tricks used to deceive unwary investors into thinking that certain unauthorised financial institutions or intermediaries listed on that website are supervised by a real regulator and that they conduct their trades through a recognised market operator (e.g. stock exchanges). The scamsters create a website for a non-existent financial regulator or market operator with a plausible name. Such a website is usually sophisticated and often contains up-to-date financial news to create a false impression of authenticity. In fact, no such financial regulator or market operator exists under that name.

To check whether a financial regulator and market operator really exists, see the member lists of the International Organization of Securities Commissions and the World Federation of Exchanges respectively.

Others

Last update: 3 Oct 2020

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