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.
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:
|Company name||Type||Add date|
|Allied Transfer Inc||Others||30 Mar 2015|
|Chen Parker Transfer Agency||Others||27 Mar 2015|
|Franklin Transfer Services||Others||5 Dec 2016|
|Lake Shore Asset Management Limited||Others||22 Oct 2007|
|Rockwell Escrow Services||Others||9 Dec 2015|
|Sealand Trading (Hong Kong) Limited||Others||28 Dec 2016|
|長江創投基金—興盛1號 (Chinese name only)||Others||10 Nov 2016|
Last update: 3 Oct 2020