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August 27, 2015 11:27 PM ET

Diversified Financial Services

Company Overview of Securities and Futures Commission

Company Overview

Securities and Futures Commission regulates Hong Kong's securities and futures markets. Its work includes setting and enforcing market regulations, including investigating breaches of rules and market misconduct; licensing and supervising intermediaries that conduct activities under the SFC's regulatory responsibility; supervising market operators, including exchanges, clearing houses, share registrars, and alternative trading platforms, and helping to enhance market infrastructure; authorizing investment products and offering documents prior to their distribution to retail investors; exercising oversight of regulations governing takeovers and mergers of public companies and of the stock exc...

35/F, Cheung Kong Center

2 Queen's Road

Central,  

Hong Kong

Founded in 1989

Phone:

852 2231 1222

Fax:

852 2521 7836

Key Executives for Securities and Futures Commission

Chief Executive Officer, Executive Director, Member of Executive Committee, Member of Budget Committee and Member of Investment Committee
Executive Director, Member of Executive Committee, Member of Sfc (Hkec Listing) Committee, Member of Investor Compensation Fund Committee, Member of Securities Compensation Fund Committee, Member of Sfc (Hkec Listing) Appeals Committee and Member of Investment Committee
Executive Director, Member of Executive Committee and Member of Nominations Committee
Executive Director, Member of Executive Committee and Member of Budget Committee
Executive Director, Member of Executive Committee and Member of Investment Committee
Compensation as of Fiscal Year 2015.

Securities and Futures Commission Key Developments

iFAST Financial (HK) Limited Receives Approval from the Securities and Futures Commission of Hong Kong

The Board of Directors of iFAST Corporation Ltd. announced that the company's wholly-owned subsidiary, iFAST Financial (HK) Limited, has received approval from the Securities and Futures Commission of Hong Kong (SFC) to carry on Type 9 regulated activities (Asset Management), subject to additional licence conditions proposed by SFC. The approval will allow iFAST HK to provide Discretionary Portfolio Management Services (DPMS) in Hong Kong. iFAST HK is now planning to launch online DPMS through Fundsupermart Hong Kong.

Securities and Futures Commission Announces Resignation of Mark Steward as Executive Director of Enforcement, Effective Form September 24, 2015

Securities and Futures Commission announced that resignation of Mr. Mark Steward as Executive Director of Enforcement. Mr. Steward's current contract expires on 24 September 2015.

Securities and Futures Commission Appoints Julia Leung as Executive Director (Investment Products)

The Government announced the appointment of Ms. Julia Leung as Executive Director (Investment Products) of the Securities and Futures Commission (SFC) for three years from March 2, 2015 to March 1, 2018. The appointment was made by the Financial Secretary with the authority delegated from the Chief Executive under the Securities and Futures Ordinance. Before joining the SFC, Ms. Leung was an advisor of three policy and academic institutes. She was the Under Secretary for the Financial Services and the Treasury from 2008 to 2013, and the Head of External Relations Division/Executive Director (External) of the Hong Kong Monetary Authority between 1994 and 2008. Mrs. Lam will retire on February 28, 2015.

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