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June 02, 2015 8:26 PM ET

Diversified Financial Services

Company Overview of Securities and Futures Commission

Company Overview

Securities and Futures Commission regulates securities and futures markets in Hong Kong. It regulates licensed corporations and individuals that carry regulated activities, such as securities and futures contracts deals, leveraged foreign exchange trade, futures contracts and corporate finance advisory, automated trading services, securities margin finance, securities advisory, and asset management services. It also regulates investment products offered to the public, listed companies, Hong Kong Exchanges and Clearing Limited, approved share registrars, Investor Compensation Company Limited, and participants in trading activities. It provides codes, guidelines, and circulars for the regulati...

8 Connaught Road

Chater House

8th Floor


Hong Kong

Founded in 1989


852 2840 9222


852 2521 7836

Key Executives for Securities and Futures Commission

Chief Executive Officer and Executive Director
Chairman of Public Shareholders Group, Executive Director of Corporate Finance Division, Director and Member of Nominations Committee
Executive Director
Financial Secretary and Non Executive Director
Executive Director of Supervision of Markets Division, Director, Member of SFC (Hkec Listing) Committee, Member of Securities Compensation Fund Committee, Member of SFC (Hkec Listing) Appeals Committee and Member of Investor Compensation Fund Committee
Compensation as of Fiscal Year 2014.

Securities and Futures Commission Key Developments

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.

Securities and Futures Commission Presents at FT Asset Management Summit 2014, Jun-19-2014 04:50 PM

Securities and Futures Commission Presents at FT Asset Management Summit 2014, Jun-19-2014 04:50 PM. Venue: Four Seasons Hotel Hong Kong, 8 Finance Street, Central, Hong Kong, Hong Kong. Speakers: Alexa Lam, Deputy Chief Executive Officer and Executive Director of Policy - China and Investment Products Division.

Securities and Futures Commission Presents at AsiaHedge Forum 2014, Apr-24-2014 12:05 PM

Securities and Futures Commission Presents at AsiaHedge Forum 2014, Apr-24-2014 12:05 PM. Venue: JW Mariott Hotel, Hong Kong, China. Speakers: Stephen Po, Senior Director of Intermediaries Supervision.

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