Hong Kong SFC Hosted 3rd Broker Forum Attended by 600+ Financial Professionals from Financial Sector, Forum Covered IPO Conduct Issues, Growing Finfluencers, Controls for Client Onboarding, Preventing Layering Activities, Integrated Fund Platform, Industry Developments & Regulations
3rd February | Hong Kong
The Hong Kong Securities and Futures Commission (SFC) hosted the 3rd Broker Forum attended by 600+ financial professionals from the financial sector. The forum covered IPO conduct issues, growing finfluencers, controls for client onboarding, preventing layering activities, integrated fund platform, industry developments & regulations. Announcement (2/2/26): “The Securities and Futures Commission (SFC) today hosted its third broker forum to foster a culture of compliance and a spirit of collaboration to facilitate market developments and financial innovations in Hong Kong’s capital markets. As part of the SFC’s ongoing industry engagement, more than 600 participants from the financial sector attended today’s forum at the SFC’s office and online. For the first time, the forum featured a panel discussion sharing industry’s views on regulatory issues and commercial implications arising from the growing prevalence of finfluencers. The forum also covered other industry developments and regulatory updates. These included the latest developments of the Integrated Fund Platform, IPO sponsors’ conduct issues (Note 1), and controls for client onboarding and prevention of potential layering activities. Note 1 ~ Please see the SFC’s press release on 30 January 2026 on its circular to licensed corporations carrying out sponsor work.”
“ Hong Kong SFC Hosted 3rd Broker Forum Attended by 600+ Financial Professionals from Financial Sector, Forum Covered IPO Conduct Issues, Growing Finfluencers, Controls for Client Onboarding, Preventing Layering Activities, Integrated Fund Platform, Industry Developments & Regulations “
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Dr Eric Yip, the SFC’s Executive Director of Intermediaries: “The broker forum serves as a regular platform for open dialogues between the SFC and the industry. By addressing emerging trends and risks, such as opportunities in asset management, the prevalence of finfluencers, and conduct issues concerning IPO sponsors and client onboarding, we aim to foster innovation and safeguard market trust, thereby ensuring the sustainable growth of Hong Kong securities market .”
Hon Robert Lee, Legislative Councillor for the Financial Services Functional Constituency: “The forum helps to strengthen ties between the SFC and the industry, enabling the regulator to better understand the industry’s challenges as well as supporting industry development.”
Hong Kong SFC Hosted 3rd Broker Forum Attended by 600+ Financial Professionals from Financial Sector, Forum Covered IPO Conduct Issues, Growing Finfluencers, Controls for Client Onboarding, Preventing Layering Activities, Integrated Fund Platform, Industry Developments & Regulations
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