Brokers, investment advisers, fund managers and intermediaries carrying out the following activities:

• Dealing in securities
• Dealing in futures contracts
• Leveraged foreign exchange trading
• Advising on securities
• Advising on futures contracts
• Advising on corporate finance
• Providing automated trading services
• Securities margin financing
• Asset management
• Credit rating services

• Set licensing standards to ensure that all practitioners are fit and proper
• Approve licences and issue codes and guidelines to inform the industry about expected standards of conduct and set financial resources requirements
• Monitor licensees' financial soundness and whether they comply with the relevant ordinances, codes and guidelines
• Handle and investigate complaints against misconduct of licensees, and take action if necessary (To learn more, refer to Regulatory Framework for Intermediaries and Approach to Supervision of Intermediaries.)

Note: Banks that conduct securities and futures businesses are required to be registered with the SFC. The Hong Kong Monetary Authority is the frontline regulator of these activities and monitors them on a day-to-day basis.

Investment products

• Set standards for the authorisation and regulation of investment products
• Review and authorise offering documents of retail investment products to be marketed to the public in Hong Kong

Listed companies

• Oversee listing matters in Hong Kong, including vetting of listing applications and disclosure requirements for listed companies
• Directly regulate takeovers, mergers and privatisations under the Codes on Takeovers and Mergers and Share Buy-backs
• Directly regulate takeovers, mergers and privatisations under the Codes on Takeovers and Mergers and Share Buy-backs
• Consider requests for exemptions from prospectus requirements under the Companies Ordinance
• Carry out active surveillance of listed companies, enquiring into their suspected prejudicial or fraudulent transactions or provision of false or misleading information; and performing risk-based reviews of particular companies and broader thematic reviews of activities which may signal corporate misconduct

Hong Kong Exchanges and Clearing Limited (HKEX)

• Oversee the performance of The Stock Exchange of Hong Kong Limited's (SEHK) role as the frontline regulator of listing matters
• Approve the creation of new markets, new products and changes to listing, trading and clearing rules and regulations
• Monitor HKEX’s own compliance with the Listing Rules as a listed company
• Monitor the trading of shares, options and futures on SEHK and Hong Kong Futures Exchange Limited

Automated trading service (ATS) providers

• Grant licences or authorisations for the provision of ATS in Hong Kong
• Oversee the operations of ATS providers

Approved share registrars

• Approve the Federation of Share Registrars as an association whose members shall be approved share registrars
• Require approved share registrars to comply with the requirements of the Code of Conduct for Share Registrars

Investor Compensation Company Limited (ICC)

• Recognise ICC as an independent compensation company
• Approve ICC's rules
• Require ICC to prepare and regularly submit financial statements, auditors’ reports and other documents to the SFC

Market participants (including investors)

• Monitor unusual market movements and direct suspension of trading in specific stocks to maintain informed and orderly markets
• Investigate and take action against market misconduct and other breaches of the law

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: akwirus (SC) Limited
Regulation Number: SFC 4532314

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: LiberalUtopia One plus SA
Regulation Number: SFC 4708424

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: Instantrend (SC) Limited
Regulation Number: SFC 4529605

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: EvokeView Global Limited
Regulation Number: SFC 9552501

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: Findixa (SC) Limited
Regulation Number: SFC 4319426

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: SeedProfit Global Limited
Regulation Number: SFC 4529605

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: CFDSea One plus SA
Regulation Number: SFC 0452537

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: MetaWhiteWhale Limited
Regulation Number: SFC 9495137

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: Globalelius Global Limited
Regulation Number: SFC 9505217

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: RoboForex One plus SA
Regulation Number: SFC 9900027

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: RelatedInvest Global Limited
Regulation Number: SFC 9700031

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: StockStall Limited
Regulation Number: SFC 6307095

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: InstaForex Limited
Regulation Number: SFC 8300099

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: Exness (SC) Limited
Regulation Number: SFC 7900033

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: TopsBit Global Limited
Regulation Number: SFC 8905041

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: Evotrade Capital Markets Pty Limited
Regulation Number: SFC 9000171

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: FxPro Limited
Regulation Number: SFC 7700919

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: DIACI Incorporated Limited
Regulation Number: SFC 6600969

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: Forex-Club Limited
Regulation Number: SFC 9707733

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: Alfa Stock (SC) Limited
Regulation Number: SFC 8200933

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: An All New Investments (VA) Limited
Regulation Number: SFC 5600911

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: TetherStock (VA) Limited
Regulation Number: SFC 8795467

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: AMarkets Global Limited
Regulation Number: SFC 23400567

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: AdmiralMarkets Limited
Regulation Number: SFC 00067845

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: JustForex (SC) Limited
Regulation Number: SFC 657123789

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: 10PROINVEST (VA) Limited
Regulation Number: SFC 867934091

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: ICMarkets Limited
Regulation Number: SFC 435567091

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: FXOpen (SC) Limited
Regulation Number: SFC 330546391

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: NPBFX Incorporated Limited
Regulation Number: SFC 0007091

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: Alpari Limited
Regulation Number: SFC 5407097

Risk Warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage.

Legal Name: Swissquote Bank One plus SA
Regulation Number: SFC 7307094