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Regulator Performance Overview
550
92
37
189
5
1
Insurance coverage protecting client deposits and funds
Requirement for client funds to be held separately from company funds
High
Tier 1
Type 3 Leveraged FX, Type 1 Dealing in Securities
Detailed assessment of regulatory capabilities and effectiveness
Detailed breakdown of the 6 key regulatory performance indicators
Value and prestige of licenses issued by this regulator
This regulator shows excellent performance with an overall score of 92.
Strongest performance in License Value
Transparency Level: high
Global Tier: tier1
The Securities and Futures Commission (SFC) is an independent statutory body established in 1989 to regulate the securities and futures markets in Hong Kong. Although independent of the Government of the Hong Kong Special Administrative Region, the SFC's investigative, disciplinary, and enforcement powers are derived from the Securities and Futures Ordinance (SFO) and subsidiary legislation.
The SFC plays a crucial role as a regulator in one of the world's leading international financial centres, ensuring market integrity, investor protection, and economic stability.
Protection against negative account balances in trading
Access to qualified investment professionals and advisory services
Government-regulated
USA - North Korea - Iran - other sanctioned countries
HKD 500000+
Hong Kong
Hong Kong - Asia-Pacific - some global clients
USA - North Korea - Iran - other sanctioned countries
Retail Agency (STP); Market Maker (Principal); Provide Liquidity (PoP)
Online portal available
SFC Complaints / FDRC
1:13
5 instruments
Contact regulator for details
International Organization of Securities Commissions
Member of the global body that brings together the world's securities regulators
Access to international regulatory standards, cooperation frameworks, and best practices
Financial Action Task Force
Member of the inter-governmental body that sets standards for combating money laundering
Commitment to international standards for anti-money laundering and counter-terrorism financing
Effectiveness of regulatory framework and enforcement
Institutional strength and organizational capability
Risk assessment and management protocols
Investor protection measures and safeguards
Client fund protection and insurance coverage
forex, Stocks, Derivatives, Securities, Futures
Brokers authorized and regulated by this authority
United Kingdom
Hong KongUnited Kingdom+1 more licensesHong Kong
United StatesUnited States+4 more licensesUnited KingdomHong KongUnited StatesHong KongUnited KingdomUnited States+2 more licensesUnited KingdomUnited KingdomUnited Kingdom+6 more licensesUnited KingdomHong KongHong Kong
Singapore
Australia+1 more licensesHong KongAustraliaUnited KingdomHong KongSingaporeUnited States+1 more licensesUnited KingdomHong KongHong KongUnited KingdomHong KongUnited States
