Securities & Futures Commission of Hong Kong

Complaints and enquiries

 Can the SFC offer me legal advice? 

No. The SFC is an independent statutory regulator of Hong Kong’s securities and futures markets.  We are not an agency tasked for providing legal advice to the public.

 Can the SFC process my complaint against a bank or an insurance broker? 

For complaints against banks, you should approach the Hong Kong Monetary Authority, which is the frontline regulator of banks and their advisory/sales staff; for complaints against insurance brokers, please contact the Insurance Authority, which regulates and supervises insurance intermediaries.

 Can I report market misconduct to the SFC? 

Yes. You can contact the SFC to report suspected market misconduct such as:

  • unlicensed activities, eg, trading or advising without an SFC licence;
  • misconduct by SFC licensees, eg, unauthorized trading, misappropriation or mis-selling;
  • market manipulation and insider dealing; and
  • suspected breaches of the Takeovers Code.

The SFC cannot process complaints relating to commercial decisions and service standards of a brokerage.

 How do I lodge a complaint with the SFC?  

To lodge a complaint, please refer to our leaflet “How to make a complaint” or go to the “Lodge a complaint” section on the SFC website.

 How does the SFC follow up on my complaint and how long does it take? 

Once received, your complaints on matters within our jurisdiction will be preliminarily assessed by the SFC’s Complaints Control Committee to decide whether the complaint should be taken further.

We pledge to give a preliminary response to verbal and written complaints within two weeks.

For details, please refer to our leaflet “How to make a complaint”.

 Will my identity be kept confidential during the complaint or enquiry process? 

Under the SFC’s policy, wherever possible, the identity of complainants or enquirers would not be revealed to outside parties. However, if the information is held or used for certain purposes related to law enforcement and regulation, the SFC is exempt from the application of data protection principles 3 and 6 (use of personal data and access to personal data) by section 58 of the Personal Data (Privacy) Ordinance.

For details, please view our privacy policy statement.

 How long does it take to process my enquiry? 

We pledge to give preliminary replies to enquiries, both verbal and written, within five business days. However, it may take longer if the enquiry is of a complex nature.

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