SFC compliance Q&A —
every line cited, every source shown.

Every answer names the document, paragraph and version date; the knowledge base syncs daily and new circulars are usually indexed the same day; reply points come with suggested wording in Chinese and English — a compliance starting point that actually holds up.

3,765
statutory documents
120,711
provision paragraphs, zh+en full text
224
full circulars (since 2022)
Daily
auto-updated knowledge base
DEMO SCENARIO 01
Demo: client complaint × SFC letter FILE / SFC-INQ-0042
"A client complained about our licensed corporation's sales practices. The SFC wrote asking for an explanation — how do we reply?"
RegSir: Under the Code of Conduct's general principles and Chapter 12, a licensed corporation must maintain effective complaint-handling procedures and respond to regulatory enquiries in a timely manner. Suggested reply framework —
CITE 01Code of Conduct for Persons Licensed by or Registered with the SFC · General Principle 2 and paragraph 12.3
VERSIONJanuary 2026 edition · sfc.hk official source ↗
STATUSCitations checked against the official text · suggested zh/en wording attached
句句有出處
RegSir mascot
RegSir mascot
KEY FEATURES · 主要功能與賣點

What RegSir does — six points at a glance.

Every line sourced

Each answer carries the document name, paragraph numbers, version date and an official sfc.hk link — one click to verify against the original.

CITATION

Self-built HK SFC corpus

3,765 documents, 120,711 provision paragraphs, 960 full circulars (since 2000) + 2,537 enforcement releases (as of 2026-10-15) — not a generic chatbot.

KNOWLEDGE BASE

Triple citation check

Existence, quotation and version — three automated checks; what fails is not shown, and uncovered scope is answered as "not covered".

VERIFIED CITATIONS

Daily auto-sync

New circulars are usually indexed the same day — no more fearing a missed regulatory update.

DAILY SYNC

Four-step reply plan

Regulatory basis → reply points → suggested zh/en wording → documents and deadlines — one pass from letter to reply.

REPLY PLAN

6–8 hours → ~20 minutes

Manual provision research typically takes 6–8 hours; RegSir retrieves instantly and produces a reply framework in about twenty minutes.

SPEED
WHY REGSIR · 點解揀規 Sir

A compliance AI built for Hong Kong licensed corporations.

The daily reality of Hong Kong compliance: one SFC letter means 6–8 hours of manual provision research, plus the worry of citing a stale version or missing a new circular. RegSir connects a self-built SFC corpus to AI — not a generic chatbot, but a compliance starting point where every line holds up.

6–8 hours
is the norm for one round of manual provision research — RegSir does it in about 20 minutes.
224 circulars
in full text (since 2022), monitored automatically — new issues indexed the same day, updated daily.
Triple check
Every citation is programmatically verified — existence, quotation, version. What fails the check is not shown.

Our corpus is built document by document, by us.

  • Self-built SFC knowledge base — 3,765 documents and 120,711 provision paragraphs (as of 2026-10-15): the Securities and Futures Ordinance (Cap. 571) and all 46 items of subsidiary legislation, in full bilingual text.
  • Knowledge base updated daily — new circulars are usually indexed the same day; no more missed regulatory changes.
  • Reply points with suggested zh/en wording — from regulatory basis to drafted wording in one pass; it does not just tell you which provision — it shows you how to reply.
  • A sourced compliance starting point — preliminary compliance information with every point grounded; your compliance officer or lawyer finalises the text.
120,711provision paragraphs indexed
  • Ordinances & subsidiary legislation49%
  • Codes & guidelines31%
  • Full circulars (since 2022)18%
  • FAQs2%
Feature comparisonRegSirGeneric AI tools
Purpose-built Hong Kong SFC corpus✓✕
Answers carry official provision citations (document, paragraph, version date)✓✕
Knowledge base updated daily · new circulars usually same-day✓✕
Reply points with suggested zh/en wording✓✕
Queries kept confidential — not disclosed to third parties for their own use✓Varies

The "generic AI tools" column describes the general case — actual features vary by platform; refer to each platform's latest published information.

WHY REGSIR · MANUAL VS REGSIR

Same question.
You spend 6–8 hours. RegSir spends ~20 minutes.

MANUAL · THE OLD WAY
6–8hours
  • Searching provisions PDF by PDF, zh/en side by side
  • Fearing stale versions — every citation double-checked by hand
  • New circulars slip through — nobody watches for you
  • Drafting reply letters from a blank page
VS
THE REGSIR WAY REGSIR
≈20minutes
  • Ask once — every point comes with its official source
  • Citations name the document, paragraph and version date
  • Knowledge base syncs daily; new circulars usually same-day
  • Reply points plus suggested zh/en wording, in one pass
CAPABILITIES · FIVE LEGAL-AI CAPABILITIES

One platform, five capabilities.

Live today: statute retrieval, preliminary compliance information and enquiry analysis. Document review and drafting are on the roadmap — once launched they open to every plan.

CAP-01 Legal research & retrieval Cap. 571 and subsidiary legislation, the Code of Conduct, guidelines, circulars — paragraph-level full-text search that tells you where it found the answer.
CAP-02 Document analysis & contract reviewROADMAP Upload a document for instant analysis against the relevant regulatory requirements, flagging the clauses that need attention.
CAP-03 Preliminary compliance info Scenario-specific preliminary compliance information with the regulatory basis laid out — for your compliance officer's judgement.
CAP-04 Enquiry analysis Breaks down the focus and scope of a regulatory enquiry point by point, helping you prepare the response strategy.
CAP-05 Automated draftingROADMAP Reply letters, compliance memos and internal policy first drafts generated automatically, bilingual — you verify and finalise.
WORKFLOW · GOT A LETTER FROM THE SFC?

It doesn't just cite the rule —
it shows you how to reply.

RegSir is not merely a search engine — it gives you a complete reply plan in four steps.

STEP 01

Regulatory basis

Lists the provisions, codes and guidelines engaged, with paragraph numbers and official links.

STEP 02

Reply points

Organises the core matters you must address — no regulatory concern left out.

STEP 03

Suggested zh/en wording

Proposes wording for the written reply — bilingual, professional and appropriately framed.

STEP 04

Documents & deadline

Lists the supporting documents to attach, plus a reminder on the reply deadline.

SAMPLE ANSWER · 示範答案

Demo scenario: watch RegSir take apart a compliance question.

This is RegSir's actual output format — citation cards state the document name, provision, version date and official link. All auditable.

DEMO SCENARIO 02
Q: When must a licensed corporation perform AML customer due diligence? REF / AML-CDD-0117
A: Under the Guideline on Anti-Money Laundering and Counter-Financing of Terrorism, a licensed corporation must perform customer due diligence (CDD) before establishing a business relationship, before carrying out specified transactions, or when money laundering is suspected…
CITE 01Guideline on AML/CFT (for licensed corporations) · para. 4.1
CITE 02Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615) · Schedule 2, s.2
VERSIONGuideline, June 2023 revision · sfc.hk official source ↗
可審計 AUDITABLE
SCENARIO 01 · COMPLIANCE HEAD

Daily queries — no more ten open PDFs

Everyday compliance questions answered instantly, with provision sources attached — internal memos move faster too.

Typical question: "What are the competence requirements for a newly hired RO?"

SCENARIO 02 · RESPONSIBLE OFFICER

SFC letter received — a reply framework in ~20 minutes

From regulatory basis to suggested wording end to end — a small firm's owner doubling as RO can handle regulatory queries.

Typical question: "The SFC is asking about our best execution arrangements — what do we cover?"

SCENARIO 03 · COMPLIANCE CONSULTANCY

A one-person team serving a whole client book

Pro gives 25 reports a month; top-ups available (HK$600/3 reports). Consultancies use RegSir to scale their service volume.

Typical use: "Drafting a first-cut compliance policy for a client's licence application."

PILOT PROGRAM · 試用計劃

We are recruiting the first cohort of pilot firms.

RegSir is still in pilot — so we won't put invented testimonials here. Real feedback from the first customers will be published only with their written consent.

PILOT 01 · FREE TRIAL

3 free questions, full citation cards

Document name, paragraph numbers, version date, official link — one question shows you how RegSir kick-starts your reply.

PILOT 02 · DIRECT FEEDBACK

Your input shapes the product directly

During the pilot, every piece of feedback reaches the product team directly — compliance scenarios raised by pilot firms are prioritised for development.

PILOT 03 · PRIORITY UPGRADE

Pilot-firm arrangements

At full launch, pilot firms get priority on quota top-ups and exclusive upgrade arrangements.

Free trial — ask one now →

PRICING · 定價

Start free. Upgrade when it earns its keep.

Free
FREE TIER
HK$0
3 free questions · full citation cards · no credit card
  • 3 free trial queries
  • Full provision citations
  • Knowledge base synced daily
  • No credit card — upgrade anytime
Start free
Standard
STANDARD · 8/mo
HK$1,888/mo
HK$18,000/yr · same 8 reports per month
  • 8 citation reports per month
  • Full provision citations
  • Four-step reply plan
  • Knowledge base synced daily
Start Standard
RECOMMENDED
Professional
PRO · 25/mo
HK$5,888/mo
HK$58,000/yr · same 25 reports per month
  • 25 citation reports per month
  • Same features as Standard — quota is the only difference
  • Roadmap features (CAP-05 drafting, monitoring alerts, PDF export) open to all plans at launch
Start Pro

Answers on all plans carry official provision citations; cancel anytime — no lock-in. Each question submitted (including follow-ups) counts as one report. Need more quota? Contact us about add-ons.

FAQ · 常見問題

You may be wondering —

No. RegSir provides preliminary compliance information and enquiry analysis; every answer carries official provision citations for you to verify. RegSir is not an SFC-licensed corporation and does not provide legal advice — final texts should be reviewed by your compliance officer or lawyer.
The knowledge base holds 3,765 documents and 120,711 provisions/paragraphs (bilingual, as of 2026-10-15): the Securities and Futures Ordinance (Cap. 571) and all 46 items of subsidiary legislation in full text, the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32), the AML Ordinance (Cap. 615), 12 codes and handbooks, 50 guidelines, 960 full circulars (since 2000), 105 consultation papers and conclusions, 42 official topic pages, and 2,537 enforcement press releases. It syncs automatically every day; new circulars are usually indexed the same day.
Every citation names the document, chapter/paragraph numbers, version date and the official sfc.hk link — one click takes you to the original to verify yourself. Our principle: every line sourced, every source auditable.
Yes. All query content is processed with encryption, is not used to train models, and is not disclosed to third parties for their own use. Queries are processed through the AI service providers we engage (processors bound by confidentiality obligations) — see the privacy policy (compliant with Hong Kong's Personal Data (Privacy) Ordinance, PDPO).
The free tier gives you 3 trial questions with full citation cards — good for seeing whether RegSir helps. Standard is 8 reports/month (HK$1,888/mo or HK$18,000/yr), suiting small firms with occasional compliance questions. Pro is 25 reports/month (HK$5,888/mo or HK$58,000/yr) — same features as Standard, the difference is quota only. Each submitted question (including follow-ups) counts as one; contact us to top up.

Next time the SFC writes,
have a reply plan in ~20 minutes.

3 free questions — ask one now. No credit card; log in with Google in one click.

Free trial — ask now