Circular to Licensed Corporations Broker Forum

The Securities and Futures Commission (SFC) will host a broker forum on 2 February 2026 at the SFC’s office on 54/F, One Island East, 18 Westlands Road, Quarry Bay, Hong Kong.

Objectives and rundown

The forum aims to:

• share supervisory observations and regulatory updates related to the securities industry; and

• engage the securities industry in ongoing discussions.

Please refer to the Appendix for the rundown and speakers of the forum.

Who should attend

Licensed corporations are invited to nominate relevant management, supervisory personnel or compliance officers to attend. The forum will be conducted in Cantonese and is free of charge. 1.5 Continuous Professional Training (CPT) hours will be offered to those who attend the whole session.

Enrolment

Each licensed corporation should only submit one enrolment form via the following link on or before 16 January 2026:
https://www.sfc.hk/en/Brokers-Forum-2026-Enrolment

The forum is open to about 300 participants. Each licensed corporation may nominate one representative to attend. Seats will be allocated on a first-come, first-served basis.

Successful applicants will be notified by email at least two working days before the forum.

If you have any queries, please contact the SFC at sfcseminar@sfc.hk.


Intermediaries Division
Securities and Futures Commission

Enclosure

End

SFO/IS/001/2026