Authority and scope
Sections ↑Registers and permission checks
Sections ↑Register fields that matter
| Measure | Value | Context |
|---|---|---|
| Search key | Name or Central Entity number | The six-character CE reference identifies a specific person or corporation.Source 2 |
| Status filter | Active, or active and inactive | A historical search result must not be presented as evidence of a current permission.Source 2 |
| Licence framework | SFO and AMLO categories | Read the relevant licence framework and activity instead of assuming that any listing covers leveraged FX.Source 2 |
| Entity and activities | Named firm, address and regulated activities | The register records legal permissions; the account agreement determines the contracting relationship.Source 2 |
For an FX broker, the useful check is whether the named corporation has the relevant active regulated activity. An affiliate’s securities or virtual-asset permission does not automatically extend to a separate FX business.[2]
Check the exact legal entity, permissions, current status and scope in the official record. A brand connection in our coverage does not establish authorisation.
Rules for firms and products
Sections ↑The SFC’s activity classification is important for a forex reader. Type 1 concerns dealing in securities, Type 2 dealing in futures contracts and Type 3 leveraged foreign exchange trading. A licence for one activity does not prove permission for another, and a licensed corporation’s status does not extend automatically to an overseas company using the same brand.[3]
Read the licence with the service
| Subject | What it means |
|---|---|
| Corporation and CE number | Match the name and identifier to the agreement; a representative’s record is not a substitute for the corporation’s authorisation.Source 2 |
| Regulated activity | Confirm that the relevant activity is active. Type 3 is the category identified for leveraged foreign exchange trading.Source 3 |
| Conditions and restrictions | Read the individual record’s conditions as well as the activity label; do not infer retail access or unrestricted service from a search result.Source 2 |
| Banks | The complaints route for banking institutions, including their securities and futures operations, is directed to HKMA.Source 4 |
Complaints and redress
Sections ↑SFC examines possible breaches, unlicensed activity and other regulatory concerns. It does not resolve private civil disputes or order compensation for an individual complainant. A monetary dispute with an SFC-licensed corporation can instead be referred to FDRC for information about its mediation and arbitration services, subject to eligibility.[4]
Hong Kong complaint and recovery routes
| Subject | What it means |
|---|---|
| SFC conduct complaint | Use the official online form or the published PDF submission route, with a clear chronology and supporting evidence.Source 4Source 5 |
| Bank complaint | SFC directs bank complaints, including bank securities and futures operations, to HKMA.Source 4 |
| Personal monetary claim | FDRC generally uses mediation first, then arbitration. Its scheme rules, fees and eligibility must be checked for the case.Source 8 |
| Initial FDRC help | The Centre offers a free public enquiry meeting by appointment through its hotline.Source 7 |
Compensation and firm failure
Sections ↑The Investor Compensation Fund is not blanket insurance for every SFC-regulated product. For defaults from 1 January 2020, the maximum is HKD 500,000 per claimant for covered SEHK securities and eligible Northbound Stock Connect securities together, and separately HKD 500,000 for covered HKFE futures. This exchange-specific scope does not establish coverage for an OTC leveraged-FX account.[6]
Apply the ICF conditions to the loss
| Subject | What it means |
|---|---|
| Several accounts | The ceiling applies per investor per single default, not afresh to every securities account.Source 6 |
| Associated cash | Cash must relate to the purchase or sale of covered securities or futures.Source 6 |
| Joint account | Each qualifying account holder is subject to their own maximum; simply contributing money to another person’s sole account does not make someone a qualifying holder.Source 6 |
| Excluded events | Ordinary investment losses, a listed issuer’s collapse, advice-related losses and a technical trading outage do not by themselves establish a covered intermediary default.Source 6 |
Official contacts and resources
Sections ↑Official Hong Kong resources
Scope Conduct and market complaints within SFC jurisdiction.
Scope +852 3199 5199; arrange an initial enquiry and check application requirements.
Scope Confirm product scope, default date and claimant eligibility.
Who the SFC regulates
- Responsible body
- Securities and Futures Commission
- Scope
- Regulated activity types including Type1 securities, Type2 futures and Type3 leveraged foreign exchange.
- Resource availability
- Available
- Checked
- Source 3
Complaints about intermediaries and market activities
- Responsible body
- Securities and Futures Commission
- Scope
- Regulatory remit, bank complaints to HKMA, money disputes to FDRC; SFC does not order private compensation.
- Resource availability
- Available
- Checked
- Source 4
SFC online complaint form
- Responsible body
- Securities and Futures Commission
- Scope
- Official conduct-complaint submission form.
- Resource availability
- Available
- Checked
- Source 5
Investor Compensation Company FAQs
- Responsible body
- Investor Compensation Company Limited
- Scope
- HKD500,000 caps from2020, eligible exchanges and Stock Connect, single-default aggregation, cash and default exclusions.
- Resource availability
- Available
- Checked
- Source 6
Making an application to the FDRC
- Responsible body
- Financial Dispute Resolution Centre
- Scope
- Free initial enquiry meeting and hotline; case-specific application requirements.
- Resource availability
- Available
- Checked
- Source 7
Financial Dispute Resolution Centre explainer
- Responsible body
- Investor and Financial Education Council
- Scope
- Mediation first, arbitration next; most HKMA-authorised/SFC-licensed institutions are members, except credit-rating-only firms.
- Resource availability
- Available
- Checked
- Source 8
Resource availability describes the documented route. It does not establish eligibility, authorisation or compensation coverage.
Report misconduct, scams or a clone
Sections ↑This profile has not yet established the applicable procedure, receiving body and eligibility for this task. Consult the authority’s official resources and check your firm, product and circumstances before acting.
Sources & further reading
- Our role Securities and Futures Commission · Accessed 10 Oct 2026
- Public Register of Licensed Persons and Registered Institutions Securities and Futures Commission · Accessed 10 Oct 2026
- Who the SFC regulates Securities and Futures Commission · Accessed 15 Oct 2026
- Complaints about intermediaries and market activities Securities and Futures Commission · Accessed 15 Oct 2026
- SFC online complaint form Securities and Futures Commission · Accessed 15 Oct 2026
- Investor Compensation Company FAQs Investor Compensation Company Limited · Accessed 15 Oct 2026
- Making an application to the FDRC Financial Dispute Resolution Centre · Accessed 15 Oct 2026
- Financial Dispute Resolution Centre explainer Investor and Financial Education Council · Accessed 15 Oct 2026
A documented resource is not a finding of eligibility or compensation coverage. Consult the named body and current official terms for your firm, product and circumstances.
Report an error or submit an update
Covered broker profiles
Profiles connected to this authority in our coverage. This is not a complete official register or a list of approved brokers; see each entity’s dated status.
BOCHK Securities
A detailed Hong Kong reference to BOCHK Securities Club pricing, automated and assisted brokerage, custody, Hong Kong/A-share/US access, order types, margin, recurring plans, cash and transfers, support and registered-institution boundaries.
- Operating status
- Active
- Headquarters
- Hong Kong
- Sources checked
- 16 Oct 2026
BOCI Securities Limited
BOCI Securities is a Hong Kong securities and futures business within the Bank of China investment-banking group. Its accessible materials give unusually useful order-session, investor-identification and severe-weather rules. A complete current brokerage tariff was unavailable; the specific 2025 settlement-fee change is documented below.
- Operating status
- Active
- Headquarters
- Hong Kong
- Sources checked
- 27 Oct 2026
China Merchants Securities (Hong Kong)
China Merchants Securities Hong Kong combines local shares, Stock Connect, overseas securities and separately contracted derivatives. Its HKD100 stock-commission floor, e-statement condition, layered margin rates and securities-transfer charges are more informative than a single advertised percentage.
- Operating status
- Active
- Headquarters
- Hong Kong
- Sources checked
- 27 Oct 2026
CMB International Securities
CMB International Securities is part of the China Merchants Bank group. Its securities account combines Hong Kong and international markets, but opening routes, commission minima, stock-transfer costs and banking procedures differ materially by customer and market.
- Operating status
- Active
- Headquarters
- Hong Kong
- Sources checked
- 27 Oct 2026
CMBC Securities Company Limited
CMBC Securities’ US stock price depends sharply on whether the US account was opened on or before 27 September 2024. Its May 2026 schedule supports current core trading comparisons; additional financing, inactivity and service figures below are explicitly dated to the separately retrieved January 2026 schedule.
- Operating status
- Active
- Headquarters
- Hong Kong
- Sources checked
- 27 Oct 2026
Everbright Securities International (Hong Kong)
Everbright Securities International operates through several Hong Kong companies. This profile anchors its stock pricing to China Everbright Securities (HK) Limited and the 7 October 2026 Hong Kong tariff, while separating Mainland-location restrictions, legacy reference rates and derivatives-platform migration notices.
- Operating status
- Active
- Headquarters
- Hong Kong
- Sources checked
- 27 Oct 2026
G.H. Financials
G.H. Financials provides professional futures execution access and clearing through UK, US and Hong Kong companies. This profile details DMA versus sponsored access, margin controls, the August 2026 US disclosure, dated concentration/capital figures and jurisdiction-specific client-money rules.
- Operating status
- Active
- Sources checked
- 27 Oct 2026
Hang Seng Securities
A detailed Hong Kong profile of Hang Seng’s standard and SimplyStock pricing, HK/A-share/US access, Invest Express order types, custody, recurring plans, IPO financing, cash and transfer boundaries, complaints and registered-institution scope.
- Operating status
- Active
- Headquarters
- Hong Kong
- Sources checked
- 16 Oct 2026
HSBC Hong Kong Securities
A detailed Hong Kong reference to HSBC’s HK, US and China A-share trading, standard and programme pricing, custody, dividend fees, Easy Invest, Level 2 data, telephone dealing, cash and transfer boundaries and bank/SFC scope.
- Operating status
- Active
- Headquarters
- Hong Kong
- Sources checked
- 16 Oct 2026
Rakuten Securities
An entity-specific reference to Rakuten FX and Rakuten MT4 in Japan, Rakuten FX in Hong Kong, account eligibility, order-size pricing, funding, margin procedures and wider investment access.
- Operating status
- Active
- Sources checked
- 10 Oct 2026