Introduction of HKSFPA 本會簡介

四月 10.2024

The Hong Kong Securities and Futures Professionals Association (formerly known as the "Hong Kong Securities and Futures Industry Staff Union") was established on January 22, 2002.




The Hong Kong Securities and Futures Professionals Association (the "HKSFPA") is one of the affiliated associations of the Hong Kong Federation of Trade Unions. HKSFPA is a trade union registered and established in 2002 under the Trade Unions Ordinance (Cap. 332). HKSFPA is also a member of the Election Committee for the Chief Executive stated in the first sector of the Schedule of the Chief Executive Election Ordinance (Cap. 569).


The founding principle of HKSFPA is to advocate for and safeguard the legitimate rights and interests of industry practitioners, and to communicate the suggestions and demands to regulatory authorities. HKSFPA has been closely monitoring the latest market trends and strives to keep practitioners informed about industry developments. HKSFPA promotes and strengthens communication among industry professionals, while continuously enhancing the level of industry training. Our goal is to provide timely information and cultivate more professionals for the industry.







(Our Permanent Honorary Chairman Mr. David WONG was an election member in 2017 National People's Congress election in Hong Kong.)




HKSFPA has more than 2,500 active members in current, including practitioners engaged in securities, futures, asset management, and other regulated activities under the supervisory of the Securities and Futures Commission of Hong Kong (the “SFC”).





As an Approved Continuous Professional Training (CPT) Provider approved by the SFC to provide continuous professional trainings, HKSFPA consistently organizes CPT training courses covering various topics and areas for our members. To date, we have conducted over 240 courses, greatly enhancing the competitiveness and professional capabilities of our members, and contributing to the development of the local financial industry.


The Approved CPT Providers list is published on the SFC’s website, extract list is shown below:







HKSFPA’s main objectives


1.Professional Training:

HKSFPA is committed to offering high-quality professional training programs to help practitioners enhance their skills and knowledge. The CPT courses provide ongoing professional development in relevant industry areas, ensuring practitioners stay abreast of industry changes and latest developments.





1.  專業培訓:



We have also invited the Hong Kong Monetary Authority as our speaker to provide CPT course.



We hosted a CPT course in the Hall of Hong Kong Stock Exchange.



The CEO of the Financial Dispute Resolution Centre conducted a CPT course for HKSFPA.




Sponsored by the Hong Kong Government, we have provided a successful training programme named “Financial Practitioners FinTech Training Programme” to the industry, with the support by Mr. Joseph Chan, Under Secretary of The Financial Services and the Treasury Bureau, representative from regulators, lawmakers, industry experts and professionals.




To support the Government's initiative for Islamic finance, we have arranged a CPT course of “Introduction of Islamic Finance”, which was supported and provided by the Malaysian International Financial Center.


Consulate General of Malaysia in Hong Kong - Mr. Muzambli Markam and HKSFPA Chairman - Mr. Mofiz Chan.




HKSFPA’s main objectives


2. Industry Information and Updates:

As an industry association, HKSFPA provides members and practitioners with up-to-date information and updates on the Hong Kong securities and futures industry. We disseminate information on market trends, regulatory changes, and important events through our website, news publications, and other communication channels.





2.  行業信息及發展:



Our Permanent Honorary Chairman, Mr. David Kwok On WONG was merit by the Secretary for Home Affairs on 27 November 2020. The Certificate of Commendation commended Mr. WONG's dedicated service and outstanding contribution to promoting the development of the securities and futures industry.





Meeting with Mr. Christopher HUI, Secretary for Financial Services and the Treasury (27 February 2024).



Meeting with Mr. HO Kai Ming, Under Secretary for Labour and Welfare (4 April 2023).



Meeting with Mr. Joseph CHAN, Under Secretary of The Financial Services and the Treasury Bureau (11 November 2022).



Interviewed by number of media about the elderly invested in high-risk financial products, investment scams, and other financial related social matters.






We were invited by various of media regarding the stamp duty matters in Hong Kong.








Cable News


HKSFPA’s main objectives


3. Member Benefits:

HKSFPA offers various benefits and privileges to its members. These benefits include access to professional development resources, networking events, career support, and recreational activities, providing a platform for professional growth and exchange.





3.  會員福利:



We have arranged gathering events for our members and their families.


A day tour to the Lai Chi Wo and Grass Island (27 November 2022).



The celebration dinner for the new Board of Committee of HKSFPA on 2 September 2022, we invited Mr. Joseph CHAN, Under Secretary of the Financial Services and the Treasury, and Members of Legislative Council - Hon. Mr. CHAN Pui Leung and Hon. Mr. Aaron KWOK.




HKSFPA’s main objectives


4. Industry Representation:


As an industry association, HKSFPA represents the interests of its members and actively engages in dialogue and discussions with relevant stakeholders. We collaborate with regulatory bodies, government agencies, and other interest groups to exchange views on industry policies and developments.





4.  行業代表:




Meeting with the Financial Services Development Council



Meeting with the Securities and Futures Commission



Meeting with the Financial Services and the Treasury Bureau and the Stock Exchange of Hong Kong regarding the trading arrangement under severe weather conditions.




HKSFPA proactively supports Hong Kong and the industry with constructive suggestions and opinions.







HKSFPA’s main objectives


5. Professional Ethics and Standards, Contributions to the Society:


HKSFPA establishes and promotes professional ethics and standards within the industry. We ensure practitioners adhere to ethical guidelines and best practices, maintaining the reputation and trustworthiness of the industry.

As an organization, HKSFPA is dedicated to raising the professional standards of industry practitioners, promoting industry development, and upholding industry norms and image. We achieve these objectives through training initiatives, information sharing, advocacy for member interests, and fostering industry collaboration.





5. 專業道德和標準,為社會作出貢獻:




We actively engage in different exchange activities for sharing insights, knowledge, and valuable experiences.


On 16 January 2023, Mr. Russell Beattie, Managing Director, Head of Asia Pacific of CME Asia, received CPT's Certific of Appreciation from HKSFPA.

2023年1月16日,芝商所董事總經理兼亞太區主管Russell Beattie先生,從證券總會接受CPT感謝狀。


Exchange activities in the Shenzhen Stock Exchange



On 11 August 2023, arranged by the Malaysia External Trade Development Corporation (“MATRADE”), our Chairman visited Kuala Lumpur to have discussions with Malaysia International Islamic Financial Centre (“MIFC”) and two local securities industry associations, namely the Association of Stockbroking Companies of Malaysia (“ASCM”) and the Association of Corporate Finance Advisers of Malaysia (“ACFA”), about the sharing of market information and industry experience.



Exchange activities in the Malaysia Stock Exchange (Bursa Malaysia Berhad) in Kuala Lumpur on 11 August 2023.

於2023年8月11日在吉隆坡的馬來西亞證券交易所(Bursa Malaysia Berhad)的交流活動​


Exchange activities in the China's Taiwan Securities Association on 5 March 2024.



Courtesy visit of Korean Finance and Service Workers Union Securities Industry Division on 5 September 2023.




We firmly believe that young people and students are the pillars of our society's future and a crucial force in carrying forward the torch of the financial industry.


We are committed to making significant contributions to Hong Kong and the financial sector.







Career Forum in the Lingnan University



We organized youth employment seminars to students, with the goal of making meaningful contributions to the future career development of young individuals.


Career talk in the CCC Chuen Yuen College



We extend love, care and compassion to society, contributing and making a positive impact on the community.

We will continue to actively participate in various social welfare activities, give back to the society, and continue to provide care and support to those in need.




Charity work in Hong Chi Pinehill Children's Home

(For Mildly Mentally Handicapped Children)





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