Welcome to our dedicated page for Futu Holdings SEC filings (Ticker: FUTU), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Futu Holdings Limited filings document the disclosures of a foreign private issuer whose American depositary shares trade on Nasdaq under FUTU. Form 6-K reports attach company announcements on unaudited financial results, dividends, and other material updates, while annual Form 20-F filings provide audited consolidated financial statements and foreign-issuer reporting for the business.
The filing record describes the economics of Futu's digital brokerage and wealth management platforms, including funded and brokerage accounts, users, client assets, trading volume, margin financing, securities lending, interest income, brokerage commissions, wealth management, fund distribution, and IPO subscription services. Dividend filings also address payments to ordinary-share and ADS holders under the deposit agreement.
Futu Holdings reported strong first quarter 2026 operating growth but sharply lower headline profit after booking a large regulatory-related charge. Total revenues rose 24.7% year-over-year to HK$5,855.99 million, driven by higher brokerage, interest and other income, while gross profit increased 29.4% to HK$5,106.71 million and operating income climbed 31.5% to HK$3,530.16 million with a 60.3% operating margin.
Client metrics were robust: funded accounts grew 34.3% to 3.59 million, total users reached 30.2 million, total client assets rose 47.2% to HK$1.22 trillion, and total trading volume hit a record HK$4.15 trillion. However, net income fell 61.2% to HK$830.99 million and non-GAAP adjusted net income declined 58.5% to HK$919.53 million, after reflecting the accounting impact of an approximately RMB1.85 billion amount referenced in an Administrative Penalty Pre-Notification Letter from the CSRC as an adjusted subsequent event. Before this adjustment, net income for the quarter was approximately HK$2,922.0 million and non-GAAP adjusted net income was approximately HK$3,010.6 million. The company also continued executing its up to US$800 million share repurchase program, having repurchased about US$418 million of ADSs by late May 2026.
Futu Holdings reported strong first quarter 2026 operating growth but sharply lower headline profit after booking a large regulatory-related charge. Total revenues rose 24.7% year-over-year to HK$5,855.99 million, driven by higher brokerage, interest and other income, while gross profit increased 29.4% to HK$5,106.71 million and operating income climbed 31.5% to HK$3,530.16 million with a 60.3% operating margin.
Client metrics were robust: funded accounts grew 34.3% to 3.59 million, total users reached 30.2 million, total client assets rose 47.2% to HK$1.22 trillion, and total trading volume hit a record HK$4.15 trillion. However, net income fell 61.2% to HK$830.99 million and non-GAAP adjusted net income declined 58.5% to HK$919.53 million, after reflecting the accounting impact of an approximately RMB1.85 billion amount referenced in an Administrative Penalty Pre-Notification Letter from the CSRC as an adjusted subsequent event. Before this adjustment, net income for the quarter was approximately HK$2,922.0 million and non-GAAP adjusted net income was approximately HK$3,010.6 million. The company also continued executing its up to US$800 million share repurchase program, having repurchased about US$418 million of ADSs by late May 2026.
Futu Holdings Limited files its annual report on Form 20-F, highlighting strong growth and detailed China-related risk disclosures. Total revenues rose from HK$10.0 billion in 2023 to HK$13.6 billion in 2024 and HK$22.8 billion (US$2.9 billion) in 2025, driven by its online brokerage and related services.
The report explains Futu’s Cayman holding-company structure, reliance on variable interest entities (VIEs) such as Shenzhen Futu and Haikou Futu, and contractual arrangements that give economic exposure but no equity ownership in PRC operating entities. It stresses that PRC authorities could disallow these arrangements, affecting operations and ADS value.
Management discusses legal and regulatory risks in Mainland China and other markets, including CSRC inquiries into cross-border services for China-based investors, extensive brokerage regulation in Hong Kong, the U.S., Singapore and other jurisdictions, and evolving cybersecurity and data-privacy regimes. Futu notes PCAOB’s 2022 decision restoring inspection access in Mainland China and Hong Kong, so it does not expect to be identified as an HFCAA issuer after this filing, while warning that future PCAOB determinations could still lead to U.S. trading prohibitions.
Futu Holdings Limited announced that its board approved a cash dividend of US$0.325 per ordinary share, or US$2.6 per American Depositary Share (ADS), for shareholders of record as of the close of business on April 16, 2026, New York time.
The aggregate dividend payment will be approximately US$365 million, payable in U.S. dollars. The dividend for ADS holders will be distributed through the depositary bank under the existing deposit agreement, with payment expected on or around April 29, 2026 for both ordinary share and ADS holders.
Futu Holdings Ltd director Tam Pui Man Brenda filed an initial ownership report on Form 3. This filing establishes her status as an insider of the company but does not list any share transactions or current holdings in the provided data.
Futu Holdings Ltd director Haixiang Li filed an initial statement of beneficial ownership as a director of the company. The report does not list any transactions, derivative positions, or current holding entries, serving as a baseline disclosure of insider status.
Futu Holdings Ltd director Zhang Jie filed an initial ownership report showing indirect holdings of 2,096,000 Class A ordinary shares. These shares are held through Diamond Orbit Investments Limited, meaning the position is owned via an affiliated entity rather than directly in his own name.
The filing is a Form 3, which records existing ownership when someone becomes an insider, not a new stock purchase or sale. A footnote explains that Zhang Jie disclaims beneficial ownership of these securities except to the extent of any pecuniary interest he may have in them.
Futu Holdings Ltd director and Chief Executive Officer Li Hua filed an initial ownership report showing substantial positions in the company’s securities. He directly holds 86,568 American Depositary Shares, each convertible at any time into eight Class A ordinary shares at the holder’s election.
Indirectly, Li Hua is reported as having interests in American Depositary Shares and ordinary shares held through Lera Ultimate Limited and Lera Infinity Limited. These indirect holdings include large blocks of Class B ordinary shares, each convertible into one Class A ordinary share with no expiration date. The filing notes that Li Hua disclaims beneficial ownership of these securities beyond his pecuniary interest.
Futu Holdings Ltd Chief Financial Officer Chen Yu filed an initial ownership report showing his existing stake in the company. The filing lists American Depositary Shares that are convertible into 1,000,000 Class A ordinary shares, as well as 887,600 Class A ordinary shares held directly. This Form 3 is a disclosure of current holdings rather than a new share purchase or sale.
Futu Holdings Ltd director Lu Shan filed an initial ownership report showing a direct holding of 1,442,720 American Depositary Shares. This Form 3 does not reflect a new trade but records his existing stake as an insider.
Each American Depositary Share is convertible at any time into eight Class A ordinary shares of Futu, and the ADSs have no expiration date.