Âé¶¹ÊÓÆµ

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Against intermediaries and market activities

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.

Our Focus

We do not…

whether the subject of the complaint has breached the Âé¶¹ÊÓÆµ’s rules and regulations.
whether there is any regulatory concern that justifies follow-up action on the part of the Âé¶¹ÊÓÆµ.

act as your legal adviser
intercede in private civil disputes
order that financial compensation be paid to you
comment on service quality issues and commercial decisions

 

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

 

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?

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. 

 

2. What is the role of the Âé¶¹ÊÓÆµ in handling complaints?

The Âé¶¹ÊÓÆµ focuses on:

  • whether the subject of the complaint has breached the rules and regulations administered by the Âé¶¹ÊÓÆµ.
  • whether there is any regulatory concern that justifies follow-up action on the part of the Âé¶¹ÊÓÆµ.

The Âé¶¹ÊÓÆµ does not:

  • act as your legal adviser
  • intercede in private civil disputes
  • order that financial compensation be paid to you
  • comment on service quality issues and commercial decisions

 

3. How should I make a complaint to the Âé¶¹ÊÓÆµ?

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.

 

4.  Can I make a complaint to the Âé¶¹ÊÓÆµ by telephone?

To avoid any misunderstanding, the Âé¶¹ÊÓÆµ requires that you fill out a Complaint Form to ensure accuracy of information.

 

5. Does the Âé¶¹ÊÓÆµ accept anonymous complaints?

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.

 

 

6. What should I expect after submitting a Complaint Form?

You will receive an acknowledgement of receipt

  • upon successful submission of a Complaint Form via the Âé¶¹ÊÓÆµ’s website or by email to complaint@sfc.hk, or 
  • within 2 weeks from the date of complaint receipt if submission is made by post and valid contact information is provided.

If needed, the Âé¶¹ÊÓÆµ may contact you for clarification and/or further information.  However, please note that:

  • calls with the Âé¶¹ÊÓÆµ will be recorded;
  • not every complaint triggers a formal investigation. We need to meet the legal threshold under the SFO to start an investigation; and
  • we are generally prevented by law from disclosing information obtained from our regulatory work to you. For details, please refer to our Disclosure policy.
 

  

7. How will my personal data be used in filing a complaint?

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.

 

  

8. What is the Âé¶¹ÊÓÆµ’s policy on the use of personal data collected in complaints?

Personal Information Collection Statement of the Âé¶¹ÊÓÆµ in respect of Use of Personal Data Collected in Complaints

Data Collection and Use

  • All information and Personal Data submitted in making a complaint to the Âé¶¹ÊÓÆµ (whether in the Âé¶¹ÊÓÆµ’s prescribed complaint form or in any document(s) supplied or to be supplied or in any subsequent telephone conversations with the Âé¶¹ÊÓÆµ) will be used, disclosed or transferred only for those purposes related to the complaint, for discharging the Âé¶¹ÊÓÆµ's statutory functions, or where permitted or required by law.  The provision of personal data is voluntary.  If the information provided is inaccurate or incomplete, consideration of the complaint may be affected.

     

  • All information and Personal Data collected may be disclosed to relevant courts, panels, tribunals and committees, and/or other local and/or overseas regulatory / government / judicial bodies as permitted or required under the law, pursuant to any regulatory / supervisory / investigatory assistance arrangements between us and other regulators (local / overseas), or persons engaged by us to assist us in the performance of our statutory functions.

Access and Correction

  • Any complainant who wishes to request access to and/or correction of his/her Personal Data held by the Âé¶¹ÊÓÆµ may do so in writing addressed to the Data Privacy Officer, Âé¶¹ÊÓÆµ, 54th Floor, One Island East, 18 Westlands Road, Quarry Bay, Hong Kong.  All data access request should be made using the specified Data Access Request Form, which can be downloaded from the Âé¶¹ÊÓÆµ website at

Last update: 25 Sep 2026

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