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Frequently Asked Questions
What is the HKSFC?
The HKSFC, or Hong Kong Securities and Futures Commission, is the regulatory authority responsible for overseeing and regulating the securities and futures markets in Hong Kong.
Which financial institutions fall under HKSFC regulation?
HKSFC regulates various types of financial institutions, including securities brokers, investment advisers, fund managers, futures brokers, and intermediaries involved in the trading and distribution of securities and futures products in Hong Kong.
How can I verify if a financial institution is HKSFC regulated?
To verify if a financial institution is HKSFC regulated, you can check the official website of the Hong Kong Securities and Futures Commission. They provide a public register or directory of licensed corporations, individuals, and registered institutions that are authorized to operate in Hong Kong’s securities and futures markets.
Does the HKSFC provide investor protection?
Yes, investor protection is a key focus of the HKSFC. They aim to maintain fair and transparent markets, safeguard investors’ interests, and combat misconduct such as market manipulation, insider trading, and fraudulent activities. The HKSFC also handles complaints and provides channels for investor education and dispute resolution.