Lodge a complaint about intermediaries’ conduct, public offerings of securities, market misconduct, listed companies misconduct or takeovers
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The Âé¶¹ÊÓÆµ (Âé¶¹ÊÓÆµ) is an independent statutory regulator of the Hong Kong securities and futures markets. Our powers are set out in the Securities and Futures Ordinance (SFO). When filing a complaint with the Âé¶¹ÊÓÆµ, please note our focus in handling complaints.
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Our Focus |
We do not… |
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whether the subject of the complaint has breached the Âé¶¹ÊÓÆµ’s rules and regulations. |
act as your legal adviser |
Approach the right regulator
You may consider filing a complaint with the Âé¶¹ÊÓÆµ if you come across matters of concern within the Âé¶¹ÊÓÆµ’s jurisdiction, for example:
- unlicensed activities in Hong Kong;
- misconduct or control failures of Âé¶¹ÊÓÆµ-licensed individuals and firms;
- unauthorised investment products publicly offered in Hong Kong;
- market manipulation or insider dealing;
- misconduct by listed companies under the SFO or related regulations; or
- non-compliance with The Codes on Takeovers and Mergers and Share Buy-backs.
If your complaint does not relate to matters regulated by the Âé¶¹ÊÓÆµ, contact the most appropriate regulator, as set out below:
| Entity | Banks (including their banking, securities and futures operations) |
| Regulator | Hong Kong Monetary Authority |
| Website |
| Entity | Insurance companies, agents or brokers |
| Regulator | Insurance Authority |
| Website |
| Entity | Employers, MPF trustees, intermediaries, ORSO employers or administrator or eMPF platform |
| Regulator | Mandatory Provident Fund Schemes Authority |
| Website |
If your complaint is related to a monetary dispute with an of which you are a customer, and you only wish to seek financial compensation, you can approach the (FDRC) for information of its mediation and arbitration services.
Financial Dispute Resolution Centre
Tel: (852) 3199 5199
Email: fdrc@fdrc.org.hk
Website:
File a complaint with the Âé¶¹ÊÓÆµ
In order for us to handle your complaint effectively, please complete our online Complaint Form.
You may also download our Complaint Form in PDF format, complete and submit it to us by email or by post.
FAQs
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1. What can I do if I only wish to seek financial compensation from an Âé¶¹ÊÓÆµ-licensed corporation of which I am a customer? |
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You can consider contacting the (FDRC). The FDRC administers the Financial Dispute Resolution Scheme whereby mediators and arbitrators will provide mediation and arbitration services to financial institutions and their customers in Hong Kong. The FDRC is an independent and non-profit making organization supported by Âé¶¹ÊÓÆµ, HKMA and the Hong Kong SAR Government to provide dispute resolution services for disputes between customers and licensed corporations/registered institutions, primarily by way of a “Mediation First, Arbitration Next” approach. Upon receipt of application, the FDRC will conduct a vetting process to determine whether the case is eligible for its dispute resolution services, and an application fee is payable to the FDRC. The FDRC may require additional and supplementary information to complete their vetting. Fees will also apply if the dispute is to be proceeded with, for mediation and arbitration arranged by the FDRC. You can reach the FDRC by phone (3199 5199) or by email (fdrc@fdrc.org.hk). Visit the FDRC’s website () for more details.
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2. What is the role of the Âé¶¹ÊÓÆµ in handling complaints? |
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The Âé¶¹ÊÓÆµ focuses on:
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The Âé¶¹ÊÓÆµ does not:
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3. How should I make a complaint to the Âé¶¹ÊÓÆµ? |
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You are required to complete our online Complaint Form, or you may download our Complaint Form in PDF format, complete and submit it to us by email or by post.
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4. Can I make a complaint to the Âé¶¹ÊÓÆµ by telephone? |
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To avoid any misunderstanding, the Âé¶¹ÊÓÆµ requires that you fill out a Complaint Form to ensure accuracy of information.
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5. Does the Âé¶¹ÊÓÆµ accept anonymous complaints? |
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A complaint will be treated as an anonymous complaint if the mandatory information is not provided in Part 1 of the Complaint Form. We will process an anonymous complaint according to our complaint handling procedures. An acknowledgement of receipt will be provided to an anonymous complainant who has given us valid contact information but no further information will be given thereafter.
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6. What should I expect after submitting a Complaint Form? |
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You will receive an acknowledgement of receipt
If needed, the Âé¶¹ÊÓÆµ may contact you for clarification and/or further information. However, please note that:
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7. How will my personal data be used in filing a complaint? |
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Normally the Âé¶¹ÊÓÆµ will not disclose your complaint or your personal information to any third party unless you grant consent. However, the Âé¶¹ÊÓÆµ is also exempt from certain principles in the Personal Data (Privacy) Ordinance if the information provided by you is used for certain purposes related to law enforcement and regulation, whether or not you give consent. For details, please refer to our Privacy policy.
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8. What is the Âé¶¹ÊÓÆµ’s policy on the use of personal data collected in complaints? |
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Personal Information Collection Statement of the Âé¶¹ÊÓÆµ in respect of Use of Personal Data Collected in Complaints Data Collection and Use
Access and Correction
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Last update: 25 Sep 2026