SFC Posts Full Register of Licensed Persons on Website

The Securities and Futures Commission (SFC) today announced the launch of a new Public Register of Licensed Persons on its website (www.hksfc.org.hk), under the section of "Intermediaries, Licensing & Investment Products".

The SFC is required by law to maintain a public register containing specified data of all licensed persons (Public Register). This is to enable members of the public to find out whether they are dealing with a licensed person in relation to any regulated activity, and the particulars of that licensed person.

In the past, the SFC maintained an electronic Public Register which was available for public inspection at its office. At the same time, the SFC provided a simplified version of Public Register on its website for public viewing. As part of a continuous effort to enhance its services to the investing public, the SFC has now made the FULL Public Register available on its website.

The full Public Register is updated every working day. Details of persons licensed by the SFC under the Securities Ordinance (SO), the Commodities Trading Ordinance (CTO) and the Leveraged Foreign Exchange Trading Ordinance (LFETO), including their names, license categories, license numbers and business addresses, are available. In addition, investors will find on the Public Register the registration details of every director employed by a corporate licensee. Alternatively, they can check which corporate licensee(s) an individual licensed person is registered with. Also available on the Public Register is a list of exempt dealers and exempt investment advisers.

The SFC reminds investors that they should only deal with licensed persons or exempt persons when engaging in any regulated activity under the SO, CTO or LFETO. If investors are in doubt of a person's license status, they can check the Public Register of Licensed Persons at the above website or contact the SFC's hotline at 2840-9333.