We welcome the public reporting on any suspected misconduct in the securities and futures markets. We started more than 250 investigations in 2009. Many of these investigations arose from complaints made by members of the public relating to suspected misconduct, such as, market manipulation, insider dealing, unlicensed activities, unauthorised trading and mis-selling by SFC licensees.

WAYS TO LODGE YOUR COMPLAINT

To cater for complaints from the public, we developed an online complaint form, which is available on our InvestEd website.

The online form provides practical guidance on the kind of information that we need so as to assess if a sufficient basis exists to begin a formal investigation.

The online form asks each person to explain, in the person’s own words, how and why the person believes an act of misconduct has occurred.

If you don’t have access to a computer or if you don’t want to lodge the form on line, you can write to us by post or by fax to 2524 3718.

Finally, if you are not able to write down your complaint on the online form or in a letter, you can call us on 2840 9222 and press 2 after selecting your preferred language to speak to one of our staff or make an appointment to see our staff.

HOW TO FILE A COMPLAINT EFFECTIVELY

In all cases, the first thing you should do before making your complaint is to prepare your materials.

Get all your documents together, including any letters, emails, contracts, notes or anything else that will help us assess your complaint. Put everything into chronological order.

Work out why you believe misconduct has occurred, using the documents as a guide and a reference. Write it all down in your own words, if you are using the online complaint form, a letter or an email.

Identify when and where a critical conversation or meeting took place, who was present, and, as best you can, what each person said.

If you send in your complaint in writing, please send us a photocopy of all the relevant documents in your possession.

If you complete the online form, send these documents separately by fax or mail. If you send us an email, be sure you attach them.

If you decide to file a report in person, you must make an appointment by calling us on 2840 9222. Don’t forget to bring photocopies of all documents that may help explain your complaint. We usually tape-record these meetings to ensure we have an accurate record of the information you provide.

In all cases, put the original documents away safely because we may need them later on.

Please also refer to the How to Make a Complaint leaflet to learn how we handle complaints, and the Privacy Policy Statement concerning how we use personal data collected in complaints.

In case you have been contacted by a representative of a firm regarding an investment opportunity and you suspect that the firm does not hold a licence from the SFC (you may search our online register of licensed persons here), please complete the Complaint Form on Unlicensed Firms to report it to us. For other matters, please submit the completed online complaint form.

ASSESSING YOUR COMPLAINT

Once we have your complaint and copies of all your documents, we will examine everything. We will also check other information we have that may be relevant to your complaint, including whether others have made the same or similar complaints in the same kinds of circumstances.

We will then decide whether there is enough evidence for us to believe the law may have been broken and whether we are able to take action.

Not every complaint about misconduct triggers a formal investigation. Under the law, we are only able to conduct investigations if we have reasonable cause to believe misconduct may have occurred. If we do not think the law may have been broken, we are not able to investigate the case. But your complaint may still be helpful to us in targeting further regulatory or surveillance work.

That is why it is important for you to provide us with as much information as possible about why you think the law has been broken.

We look forward to your co-operation.

source: sfc.hk