Securities & Futures Commission of Hong Kong

Legal Services

Our legal services staff support the work of the SFC by providing legal advice and assistance. 

What we do:

  • Conduct civil and criminal litigation involving the SFC, including giving advice on the sufficiency of evidence, the public interest in prosecution and the viability of the use of different provisions in particular cases, instructing external counsel to represent the SFC in court, preparing cases for court and performing the solicitor role during court hearings
  • Provide legal advice on a range of matters, including statutory interpretation, administrative law, procurement contracts, personnel issues, disciplinary cases, risky broker scenarios, amendments to SFC codes and guidelines and memoranda of understanding
  • Handle legislative work including amending the Securities and Futures Ordinance (SFO) and drafting subsidiary legislation under the SFO
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