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YOU · DAVID A client complained about our licensed corporation's sales practices. The SFC wrote asking for an explanation — how do we reply?
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SFC letter reply plan FILE / SFC-INQ-0042 · citations verified

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 promptly and fully. Here is a four-step reply plan prepared for you:

STEP 01

Regulatory basis

Code of Conduct General Principle 2 (diligence) and paragraph 12.3 (complaint handling).

STEP 02

Reply points

Acknowledge the letter, state an internal investigation has begun, describe the complaint-handling procedure and timeline.

STEP 03

Suggested wording (zh/en)

「本行已就上述事宜展開內部調查……」/ "We have commenced an internal review…"

STEP 04

Documents & deadline

Client correspondence records, sales documents, internal investigation notes; reply by the date specified in the letter.

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 ↗
Sample output · every line cited

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