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Our Structure

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Board of Directors
Non-Executive Director
Chew Fook Aun
Non-Executive Director
DAWES, Victor, SC
Non-Executive Director
NED_Johnson Kong
Non-Executive Director
James Lin
Non-Executive Director
Nicky Lo
Non-Executive Director
Michael Wong
Non-Executive Director
NED_Dieter Yih
Non-Executive Director
Board Committees
Audit Committee

CHAN Sui Kuen, Agnes, BBS (Chairman)

Dr LIN, James C.  (Deputy Chairman)

DAWES Victor, SC, BBS (Member)

KONG, Johnson (Member)

LUI Tim Leung, Tim, GBS, JP (Member)

YIH, Dieter, JP (Member)

Budget Committee
Remuneration Committee

1 In non-voting capacity.

Executive Committee
External Committees

Advisory committee

The Advisory Committee was established under the Securities and Futures Ordinance (SFO) to offer insight and advice on policy matters related to the performance of the SFC's functions. It is chaired by our Chairman and comprises the CEO and not more than two other EDs, as well as a majority of external representatives appointed by the Financial Secretary under the authority delegated by the HKSAR Chief Executive.

Regulatory committees and nominations committee

Also set up under the SFO, these committees specialise in specific regulatory areas, eg, investment products, takeovers and mergers and the rights and interests of shareholders. Members are appointed by the Board and include NEDs, EDs and a large external representation.

CEO's Office

Secretariat and External

What we do:

  • Safeguard the corporate governance of the SFC, and ensure that top management directives are effectively implemented. In particular, we:

• implement top management directives and maintain the institution’s governance;

 advise on the SFC’s operational governance and handle complaints against the SFC or its staff as well as data breaches;

 liaise and coordinate with the Government on various policies and initiatives; 

  • As the SFC’s central relationship management unit, we collaborate with other divisions in developing and executing strategic initiatives for external outreach and communications to governmental, industry and public stakeholders, and manage the SFC’s relationships with them on an ongoing basis. We also prepare senior executives’ speeches, provide editorial services to the SFC’s publications, organise industry events, and manage the SFC’s website and social media platforms.

Secretariat and External is headed by the Chief Governance Officer who is also the Commission Secretary and a member of the SFC’s Executive Committee.

International Affairs and Sustainable Finance

What we do:

Support the board and senior management in its participation in the international regulatory community, including:

  • Advising on strategies in relation to international securities regulatory developments and sustainable finance initiatives;
  • Enhancing cooperation between the SFC and overseas regulatory authorities, both bilaterally and through multilateral organisations, such as IOSCO and the FSB; and
  • Coordinating with the HKSAR Government, other regulatory agencies and industry bodies on international developments, sustainable finance, and on formulating and implementing initiatives.

Mainland Affairs

What we do:

  • Monitor and research developments and regulatory trends in Mainland capital markets and provide advice on relevant strategies and cooperation initiatives;
  • Maintain close communication with the China Securities Regulatory Commission and other Mainland authorities to facilitate cross-boundary cooperation, and coordinate communication and cooperation between the SFC and Mainland regulatory authorities; and
  • Support initiatives led by the HKSAR Government on Mainland-Hong Kong financial cooperation. 

Press Office

What we do:

Serves as the primary contact point for media organisations to facilitate media coverage of regulatory policies, initiatives and actions of the SFC by:

  • Formulating and driving media strategies to enhance public understanding of the functions and the work of the SFC;
  • Evaluating public feedback and spearheading engagement with media stakeholders; and
  • Organising media events to foster communication between the media and SFC’s senior executives.

Last update: 5 Jul 2024

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