Securities & Futures Commission of Hong Kong

Intermediaries Supervision

The department supervises intermediaries with particular focus on business conduct and financial soundness.

What we do:

  • 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 

Details of regulatory functions

3.8681 s