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341 firms on file · 202 identified entity records 73 carry a published regulator notice

Warning

RECORD AL-2026-1004NOT EXAMINED

China Financial Compliance

There is a published listing from the Securities and Futures Commission naming this entity.

The SFC has placed this entity on its Alert List. The entity provided a fake certificate of membership purporting to have been issued by the SFC. A warning notice is the regulator alerting the public; it is not, by itself, a court finding.

Warning means: A regulator has published a list naming this entity — typically because it appears to be acting in a capacity that requires registration and is not registered. Being listed is not itself a finding of wrongdoing by a court, but it is a public signal from the regulator.

Issuing authority — read the noticeSFC · China Financial Compliance · https://www.sfc.hk/en/alert-list/3473
LAST CHECKED
2026-10-31
FIRST LISTED
2026-06-23
JURISDICTION
—
SOURCES
1

Regulator record

Licence and registration references as recorded on each authority's own register.

RegulatorJurisdictionReference no.TierStanding

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Regulatory timeline

Published notices and alert-list entries recorded against this entity.

  1. 2026-06-23 · AL-2026-1004

    Securities and Futures Commission — Alert list entry

    The SFC has placed this entity on its Alert List. The entity provided a fake certificate of membership purporting to have been issued by the SFC.

    https://www.sfc.hk/en/alert-list/3473

User reports

Moderated accounts submitted by readers. Not regulatory evidence.

Reports are published only after a person reads them. A report marked verified means the reporter supplied supporting documentation we were able to check. An unverified report is one person's account and does not change this entity's status.

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Sources

Sources supplied with the current register rows; their dates describe the recorded checks.

PublisherDocumentRETRIEVED
Securities and Futures Commission (Hong Kong)Alert list entry — China Financial Compliancehttps://www.sfc.hk/en/alert-list/34732026-10-31