鶹ý

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Independent panels and tribunals

The  for the 鶹ý and the 鶹ý and Futures Appeals Tribunal provide external checks and balances that aim to ensure fairness in our decision making, due process, and the proper use of regulatory powers. Additionally, the Leveraged Foreign Exchange Trading Arbitration Panel handles disputes related to leveraged foreign exchange trading.

Process Review Panel for the 鶹ý  

Responsibilities:

The panel reviews and advises the SFC on the adequacy of the SFC's internal procedures and operational guidelines governing the actions and decisions made in the performance of its regulatory functions. The scope of the panel's review includes licensing applications, intermediary inspections, product authorisation, the receipt and handling of complaints, investigative, disciplinary and enforcement actions, and corporate finance transactions (including the administration of the Listing Rules).

The panel's reports on the SFC are submitted to the Financial Secretary annually. Such reports are also available below and on the Financial Services and the Treasury Bureau's website.

Chairman

  • LEE Kam-hung, Lawrence, BBS, JP

Members

  • Professor CHAN Ka-lok, MH
  • CHAN Lap-tak, Jeffrey
  • CHAU Suet-fung, Dilys, JP
  • CHING Kim-wai, Kerry
  • CHUA Suk-lin, Ivy
  • CHUI Yik-chiu, Vincent
  • KWAN Wing-han, Margaret
  • KWOK Pui-fong, Miranda, JP
  • LAI Hin-wing, Henry
  • LI Man-bun, Brian David, BBS, JP
  • LIN Xiaodong, Charles
  • Dr WANG Lei, Levin, JP

Ex-officio Members

鶹ý and Futures Appeals Tribunal  

Responsibilities:

The tribunal is chaired by current or former judges appointed by the Chief Executive of the Hong Kong Special Administrative Region and comprises two other members drawn from a panel appointed by the Financial Secretary under delegated authority. The tribunal reviews the SFC's regulatory decisions made under the 鶹ý and Futures Ordinance and hears and determines any question or issue arising out of or in connection with its reviews. It also reviews the Investor Compensation Company's determination in relation to investors' claims against the Investor Compensation Fund.

Chairmen

  • HARTMANN Michael John, GBS
  • LUNN Michael Victor, GBS
  • MCWALTERS Ian Charles, GBS, JP

Members

  • CHAN Chun-hung, Vincent
  • Prof CHAN Koon-hung
  • Prof CHAN Ka-lok, MH
  • CHAN Mei-bo, Mable
  • CHAN Siu-ping, Chordio
  • CHAN Yuen-shan, Florence
  • CHEN Xin, Lorna
  • CHENG Wai-sum, Yvonne
  • CHEUNG Wai-kwok, Gary
  • CHING Kim-wai, Kerry
  • HUI Ming-ming, Cindi
  • KONG Chi-how, Johnson
  • LAM Chi-yuen, Nelson
  • LEUNG Ming-hym, Peter
  • Prof LEUNG Siu-fai
  • MAK Kwong-fai
  • SHIH Edith
  • TANG Hamilton Ty
  • Dr TO Wing, Christopher
  • WONG Hin-wing, Simon
  • WONG Kwok-ching, Jamee
  • YAU Yu-xin, Amelia
  • YIP Chai-tuck
  • YUEN Miu-ling, Wendy
  • YUEN Siu-bun, Edward

Leveraged Foreign Exchange Trading Arbitration Panel 

Responsibilities:

The panel arbitrates disputes between corporations licensed by the SFC for carrying out leveraged foreign exchange trading and their clients.

Chairman

  • LEE Pui-shan, Rosita

Deputy Chairman

  • CHAN Siu-ping, Chordio

Members

  • FUNG Kit-ming, Veronica
  • LEUNG Bon-yuen, Eviana
  • Dr WANG Lei, Levin 

Last update: 19 Dec 2023

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