Home Lodge a complaint Against intermediaries and market activities
The Securities and Futures Commission (SFC) values reports from the public on any suspected crime, misconduct or activities that it believes could affect the financial markets adversely. Before you submit a complaint, please read the leaflet "How to Make a Complaint" which explains the SFC's role, power and procedures for handling complaints and how to channel through a complaint more effectively. Here are the ways for you to lodge a complaint with the SFC:
If you have been contacted by a representative of a firm regarding an investment opportunity and you suspect that the firm is not licensed by the SFC, please complete the "Complaint Form on Unlicensed Firms" to give us the relevant information. (To verify, please search our online register of licensed persons here.)
For other matters, please fill in the complaint form below and submit it to us.
(Please enter your contact details to facilitate our following up. It is our policy not to respond to anonymous complainants.)
What is the nature of your complaint? Please select by putting a check in the box (multiple choices allowed):
If your complaint relates to a bank, a provider of mandatory provident fund services, a share registrar or an insurance intermediary, please report the matter directly to other regulators. Click here to get their contact information.
Target company: Please provide the full name and contact details (e.g. address, phone no., email, website) of the company against which the complaint is made, or which is involved in the complaint.
Target person: Please provide the full name and contact details (e.g. address, phone no., email) of the individual in respect of whom the complaint is made, or who is involved in the complaint.
Where did the matter you wish to complain of happen?
Please give full details of the relevant events and dates in chronological order:
Are you able to give us any documents supporting the events that you describe (e.g. client agreement, contract notes, account statements, correspondence)?
If your complaint relates to a licensed intermediary, did you also lodge a complaint with its complaints officer or other relevant staff?
If yes, what is their reply? Please briefly explain.
Have you lodged a complaint with the SFC previously, which is related to the current one?
Have you reported the complaint to other regulators?
Please use the box below to give any additional information that you believe may be of use in evaluating your complaint.
We cannot always tell a complainant what we have discovered because we are restrained by law from disclosing information obtained during the performance of our regulatory functions. The only exception to this is when action stemming from an investigation, such as a prosecution or disciplinary findings, is concluded. Then such information will be made public, generally, by way of a press release.
In reviewing your complaint, the SFC may need to contact the target company/person concerned or another authority (e.g. Hong Kong Exchanges and Clearing Limited, Hong Kong Monetary Authority) in order to collect further information, and details of your complaint may have to be disclosed to these parties for these purposes. In that event, you will be contacted beforehand to authorise the SFC to release information provided in your complaint.
However, where a complainant discloses information to the SFC, and notwithstanding the SFC's policy that wherever possible, the identity of complainants should be kept confidential, 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 s.58 of the Personal Data (Privacy) Ordinance. The information can then be used for these purposes, whether or not a complainant gives authority. The purposes include the prevention, preclusion or remedying (including punishment) of unlawful or seriously improper conduct, and protecting the public from financial loss arising from dishonesty, incompetence, malpractice or seriously improper conduct by persons concerned in the provision of financial services.
We shall send you a preliminary response within two weeks.
You will receive our acknowledgement by email upon your successful submission of your complaint.
Last update: 1 Jun 2018
For optimum viewing, please use screen resolution of 1024 x 768 and Internet Explorer 8.0 or browser of an equivalent or higher version.
Copyright © 2018 Securities and Futures Commission. All rights reserved.
Last update: 1 Jun 2018