Against intermediaries and market activities

The three sub-sections below provide you with guidance on how to file your complaints effectively and offer an overview of our complaint handling process.

 How to file a complaint  

You can lodge a complaint by:

  • Completing an online complaint form, to explain how and why you believe an act of misconduct has occurred;
  • Writing to us by post to 35/F, Cheung Kong Center, 2 Queen’s Road Central, Hong Kong;
  • Sending an email to complaint@sfc.hk; or
  • Calling us on 2231 1222 (press 5 after selecting your preferred language).

To make the complaint process easier, we also provide a complaint form in PDF format for you to download.

See our Privacy Policy Statement which provides details about how we handle personal data and the information provided in complaints.

 Things to note when filing a complaint 

To ensure that your complaint is processed efficiently, please run through the checklist below:

  • Provide your full name and contact information.
  • Provide the full name of the person or company that you wish to complain against.
  • Write down all the details of the matter you wish to complain about.
  • Gather all relevant documents, including client agreements, contract notes, correspondence, marketing materials or any other materials that may help us assess your complaint. Arrange the items in chronological order.
  • Enclose photocopies of all relevant documents if you send us your complaint by post. If you send us your complaint online or via an email, be sure that you attach the supporting documents.
  • File away all original documents for safekeeping as we may need them later on.

 How a complaint is assessed 

  • Complaints about matters within our jurisdiction are first reviewed by our Complaints Control Committee, which is made up of senior executives from our various divisions. In reviewing your complaint, the SFC may need to approach the subject of your complaint for a response. You can read our Privacy Policy Statement to understand how we will use your personal data.
  • The Complaints Control Committee’s main focus is to determine whether the subject of your complaint has complied with the rules and regulations we administer. It will allocate complaints that are within the SFC’s jurisdiction to the responsible division for further assessment. We will respond to you upon completion of our review.
  • Not every complaint triggers a formal investigation. Under the Securities and Futures Ordinance (SFO), we need to meet the legal threshold to start an investigation. However, your complaint may still help us in our regulatory or surveillance work.
  • If the complaint contains too few details, we may decide that no further action is necessary, and we will inform you of our decision.
  • We pledge to give you a preliminary response within two weeks of receiving your complaint.
  • While an anonymous complaint will be processed according to our complaints handling procedures, it is not our normal practice to respond to an anonymous complainant or a complainant who did not provide his or her full name and valid contact information.
  • Please note that we are restrained by the secrecy provision of the SFO from disclosing to you information obtained from our regulatory work. There are exceptions to this, for instance, when an action stemming from an investigation – such as a prosecution – has been concluded and made public. These restraints are designed to ensure that the complaint process is not abused and to protect the reputation of the person or firm being complained against, should the complaint later be found to be unsubstantiated.

 How to file a complaint  

You can lodge a complaint by:

  • Completing an online complaint form, to explain how and why you believe an act of misconduct has occurred;
  • Writing to us by post to 35/F, Cheung Kong Center, 2 Queen’s Road Central, Hong Kong;
  • Sending an email to complaint@sfc.hk; or
  • Calling us on 2231 1222 (press 5 after selecting your preferred language).

To make the complaint process easier, we also provide a complaint form in PDF format for you to download.

See our Privacy Policy Statement which provides details about how we handle personal data and the information provided in complaints.

 Things to note when filing a complaint 

To ensure that your complaint is processed efficiently, please run through the checklist below:

  • Provide your full name and contact information.
  • Provide the full name of the person or company that you wish to complain against.
  • Write down all the details of the matter you wish to complain about.
  • Gather all relevant documents, including client agreements, contract notes, correspondence, marketing materials or any other materials that may help us assess your complaint. Arrange the items in chronological order.
  • Enclose photocopies of all relevant documents if you send us your complaint by post. If you send us your complaint online or via an email, be sure that you attach the supporting documents.
  • File away all original documents for safekeeping as we may need them later on.

 How a complaint is assessed 

  • Complaints about matters within our jurisdiction are first reviewed by our Complaints Control Committee, which is made up of senior executives from our various divisions. In reviewing your complaint, the SFC may need to approach the subject of your complaint for a response. You can read our Privacy Policy Statement to understand how we will use your personal data.
  • The Complaints Control Committee’s main focus is to determine whether the subject of your complaint has complied with the rules and regulations we administer. It will allocate complaints that are within the SFC’s jurisdiction to the responsible division for further assessment. We will respond to you upon completion of our review.
  • Not every complaint triggers a formal investigation. Under the Securities and Futures Ordinance (SFO), we need to meet the legal threshold to start an investigation. However, your complaint may still help us in our regulatory or surveillance work.
  • If the complaint contains too few details, we may decide that no further action is necessary, and we will inform you of our decision.
  • We pledge to give you a preliminary response within two weeks of receiving your complaint.
  • While an anonymous complaint will be processed according to our complaints handling procedures, it is not our normal practice to respond to an anonymous complainant or a complainant who did not provide his or her full name and valid contact information.
  • Please note that we are restrained by the secrecy provision of the SFO from disclosing to you information obtained from our regulatory work. There are exceptions to this, for instance, when an action stemming from an investigation – such as a prosecution – has been concluded and made public. These restraints are designed to ensure that the complaint process is not abused and to protect the reputation of the person or firm being complained against, should the complaint later be found to be unsubstantiated.
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