Alert List

The Alert List is a list of entities which have come to the attention of the SFC because they are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. You can either search by name or by type to check whether an entity is already on the list. This is not a comprehensive list and new names are coming to our attention all the time. We will add to the list as we hear of new names. If you have been contacted by an unlicensed firm, it would be of assistance to the SFC if you would provide information on your dealings with that firm by completing our online complaint form.

For further information on boiler rooms, scam websites and phishes, please follow the links.

Note: The information contained on the Alert List is provided as an early warning service to investors but is not a substitute for investors conducting their own due diligence by checking up on a particular entity.

Please view the list by selecting the first alphabet that starts off the name of each entry or the sub-group labelled “Chinese” for entities bearing only Chinese names:

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Explanation (Click for details):
Search tips:

This is a keyword search based on exact phrases. To facilitate searching, please only enter the keywords "AAA" in the search field when searching for "AAA Co", "AAA Company", "AAA Ltd", "AAA Limited" or "AAA Inc".

A B C D E F G H I J K L M N O P Q R S T U V W X Y Z Chinese Others
Company name Type Add date
Asia Futures Exchange / ASIAFEX Fake regulators and/or market operators 10 Oct 2017
Beijing Futures Exchange Fake regulators and/or market operators 19 Jul 2011
Commodity Options Security Exchange Fake regulators and/or market operators 6 Aug 2013
Department of Foreign Securities Fake regulators and/or market operators 17 Jul 2015
Diversified Assets Authority Fake regulators and/or market operators 26 Oct 2011
Fast Gold Exchange Fake regulators and/or market operators 2 Aug 2012
Financial Market Authority of Hong Kong Fake regulators and/or market operators 18 Feb 2010
Financial Markets Supervisory Authority of Hong Kong Fake regulators and/or market operators 12 Apr 2011
Financial Services Regulator of Hong Kong Fake regulators and/or market operators 28 Sep 2009
Futures Trading Commission Fake regulators and/or market operators 10 May 2012
Global Acquisitions Regulators Fake regulators and/or market operators 28 Feb 2012
Global Financial Services Regulatory Committee Fake regulators and/or market operators 2 Jun 2011
Global Investor Commission Fake regulators and/or market operators 10 Oct 2011
HKOTC Fake regulators and/or market operators 13 Mar 2014
Hong Kong & New Territories Futures Board Fake regulators and/or market operators 20 Apr 2010
Hong Kong Commodity Trading Board Fake regulators and/or market operators 21 Oct 2009
Hong Kong Enterprise Equity Transfer Market Limited/ Hong Kong Enterprises Takeover Market Limited/HKOTC Fake regulators and/or market operators 21 Sep 2017
Hong Kong Financial Securities Board Fake regulators and/or market operators 31 Mar 2009
Hong Kong Financial Services Authority Fake regulators and/or market operators 31 Mar 2009
Hong Kong Financial Trading Authority Fake regulators and/or market operators 15 Jul 2009
Hong Kong Foreign Investments Trade Authority Fake regulators and/or market operators 11 Feb 2016
Hong Kong Futures Market Commission Fake regulators and/or market operators 10 Aug 2010
Hong Kong Gold Exchange Fake regulators and/or market operators 9 Jun 2010
Hong Kong International Board Financial Investment Group Company Limited Fake regulators and/or market operators 21 Sep 2017
Hong Kong International Board Group Limited Fake regulators and/or market operators 21 Sep 2017
Hong Kong Options and Futures Exchange (HKOFX) Fake regulators and/or market operators 19 Apr 2010
Hong Kong Regulatory Board Fake regulators and/or market operators 15 Mar 2013
Hong Kong Science and Technology Innovation Equity Transfer Market Co., Ltd Fake regulators and/or market operators 3 Mar 2020
Hong Kong Securities Options Futures Exchange (HKSOFX) Fake regulators and/or market operators 20 Jul 2010
Hong Kong Shanghai Board Options Exchange Fake regulators and/or market operators 3 Sep 2013
Hong Kong Stock Transfer Registry Fake regulators and/or market operators 6 Jul 2015
Hongkong Enterprise Equity Transfer Management System Center Co Ltd Fake regulators and/or market operators 22 Jan 2018
International Equities Organization Fake regulators and/or market operators 6 Nov 2009
International Financial Committee Hong Kong Fake regulators and/or market operators 19 Aug 2010
International Financial Court Fake regulators and/or market operators 10 Oct 2011
International Financial Court (IFC) Hong Kong Fake regulators and/or market operators 15 Nov 2012
International Investor Commission Fake regulators and/or market operators 23 May 2011
International Investor Protection Coalition Fake regulators and/or market operators 15 Mar 2013
International Mergers Authority Fake regulators and/or market operators 28 Feb 2012
International Securities & Futures Commission Fake regulators and/or market operators 22 Oct 2010
International Securities Exchange Commission Fake regulators and/or market operators 10 Aug 2010
International Securities Registry Fake regulators and/or market operators 14 Feb 2011
Investment Capital and Financial Regulatory Services Fake regulators and/or market operators 17 Jun 2020
Monetary Authority of China Fake regulators and/or market operators 12 Mar 2010
New York Regulatory Division Fake regulators and/or market operators 7 Feb 2018
RegiGlobe Fake regulators and/or market operators 12 May 2011
Regulatory Compliance and Oversight Department Fake regulators and/or market operators 22 Sep 2017
Seattle Mercantile Exchange Fake regulators and/or market operators 17 Jul 2015
Secure International Exchange Committee Fake regulators and/or market operators 22 Sep 2010
Securities Intermediary Bureau Fake regulators and/or market operators 21 Feb 2011
Securities Registry Board Fake regulators and/or market operators 10 Jun 2014
Seoul Options and Futures Exchange Fake regulators and/or market operators 31 May 2012
Shanghai Mercantile Exchange Fake regulators and/or market operators 22 Apr 2010
Shenzhen Commodity Exchange Fake regulators and/or market operators 22 Aug 2014
Taiwan Commodity Exchange Fake regulators and/or market operators 29 Jan 2015
Taiwan Options and Futures Exchange Fake regulators and/or market operators 22 May 2013
The Asian Financial Services Authority Fake regulators and/or market operators 10 Mar 2011
The Hong Kong Futures & Options Exchange (The HKFOE) Fake regulators and/or market operators 7 Jun 2010
Unlicensed entities

Sometimes entities appear to target Hong Kong investors whilst not having been licensed to carry out regulated activities in Hong Kong. They often adopt names similar to legitimate financial institutions to confuse investors. Alternatively, such unlicensed entities may provide financial investment trading platforms on the Internet. If you deal with a company which is not licensed by the SFC, you may not be protected by the regulatory framework enforced by the SFC.

Deal only with licensed entities and hang up on cold callers. To check whether an entity is an SFC licensee, visit our Public Register of Licensed Persons and Registered Institutions.

Suspicious websites

Dubious websites may offer too-good-to-be-true investment opportunities (e.g. pre-IPO stocks of fabricated companies sold at huge discounts, or funds with guaranteed multiple returns) that do not actually exist. Alternatively, such websites may be fraudulent copycat websites imitating the websites of reputable financial institutions to lure investors to part with their money and/or disclose personal information that the fraudsters may later use to swindle investors.

Do not respond to investment website offers unless you are sure of the legitimacy of the entity.

Phishes

Phishes usually imitate legitimate financial institutions to despatch emails to entice recipients to disclose their credit card / bank account numbers and passwords / Personal Identification Numbers (PINs). If you provide this information, you may find your account is drained of money.

Most legitimate banks will never email you asking for your details or PIN. If in doubt, contact your bank directly.

Fake regulators and/or market operators

Creating a fake regulator and/or market operator website is one of the tricks used to deceive unwary investors into thinking that certain unauthorised financial institutions or intermediaries listed on that website are supervised by a real regulator and that they conduct their trades through a recognised market operator (e.g. stock exchanges). The scamsters create a website for a non-existent financial regulator or market operator with a plausible name. Such a website is usually sophisticated and often contains up-to-date financial news to create a false impression of authenticity. In fact, no such financial regulator or market operator exists under that name.

To check whether a financial regulator and market operator really exists, see the member lists of the International Organization of Securities Commissions and the World Federation of Exchanges respectively.

Others

Last update: 3 Oct 2020

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