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3. Our role
   • Regulatory objectives
   • Who we regulate
   • How we function
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4. Regulatory objectives

As a statutory body, our work is defined and governed by the Securities and Futures Ordinance (SFO), which sets out our powers, roles and responsibilities. Our statutory objectives include:

• to maintain and promote a fair, efficient, competitive, transparent and orderly securities and futures industry;
• to help the public understand the workings of the securities and futures industry¹;
• to provide protection for the investing public;
• to minimise crime and misconduct in the industry;
• to reduce systemic risks in the industry; and
• to assist the Government in maintaining Hong Kong's financial stability.

¹ The SFC is the only Hong Kong financial regulator given the mandate to educate the investing public. Following the enactment of the Securities and Futures (Amendment) Ordinance 2012, an SFC subsidiary was formed to educate the public on a broad range of retail financial products and services. Now known as the Investor and Financial Education Council, it plays a key role in improving the general public's financial literacy.

Last update: 19 Nov 2019