| Date |
Publication |
| 30 Sep 2020 |
Financial Review of the Securities Industry for the half year ended 30 June 2020
|
|
24 Sep 2020
|
Enforcement Reporter (Sep 2020)
|
|
23 Sep 2020
|
Report on the 2019-20 thematic cybersecurity review of internet brokers
|
|
25 Aug 2020
|
Asset and Wealth Management Activities Survey 2019
|
|
20 Aug 2020
|
Quarterly Report (Apr – Jun 2020)
|
|
31 Jul 2020
|
Half-yearly Review of the Global and Local Securities Markets (Featuring Stock Market Trading, Short Selling and After-Hours Trading) - Research Paper No. 67
|
|
2 Jul 2020
|
Report on the Securities and Futures Commission's review of the Exchange's performance in its regulation of listing matters
|
|
30 Jun 2020
|
Takeovers Bulletin (Jun 2020)
|
|
24 Jun 2020
|
Annual Report 2019-20
|
|
9 Apr 2020
|
Report on Leveraged Foreign Exchange Trading Activities Carried Out by Licensed Corporations
|
|
31Mar 2020
|
Takeovers Bulletin (Mar 2020)
|
|
16 Mar 2020
|
Financial Review of the Securities Industry for the year ended 31 December 2019
|
|
21 Feb 2020
|
Quarterly Report (Oct – Dec 2019) |
|
14 Feb 2020
|
A Review of the Global and Local Securities Markets in 2019 (Featuring Stock Connect and Short Selling)- Research Paper No. 66
|
|
7 Feb 2020
|
SFC Regulatory Bulletin (Feb 2020) |
|
20Jan 2020
|
SFC Compliance Bulletin: Intermediaries(Jan 2020) |
|
30Dec 2019
|
Takeovers Bulletin (Dec 2019) |
|
16 Dec 2019
|
Survey on Integrating Environmental, Social and Governance Factors and Climate Risks in Asset Management |
|
5Dec 2019
|
Quarterly Report (Jul -Sep 2019) |
|
30 Sep 2019
|
Takeovers Bulletin (Sep 2019) |
|
20 Sep 2019
|
Financial Review of the Securities Industry for the year ended30 June2019 |
|
12 Aug 2019
|
Quarterly Report (Apr - Jun 2019)
|
|
26 Jul 2019
|
Half-yearly Review of the Global and Local Securities Markets (Featuring the Northbound Investor Identification Regime and Short Selling) - Research Paper No. 65
|
|
26 Jul 2019
|
Asset and Wealth Management Activities Survey 2018
|
|
28 Jun 2019
|
Takeovers Bulletin (Jun 2019)
|
|
19 Jun 2019
|
Annual Report 2018-19
|
|
10 Jun 2019
|
Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong
|
|
30 May 2019
|
SFC Compliance Bulletin: Intermediaries(May 2019)
|
|
28 Mar 2019
|
Takeovers Bulletin (Mar 2019)
|
|
25 Mar 2019
|
Financial Review of the Securities Industry for the year ended31 December 2018
|
|
22 Feb 2019
|
Quarterly Report (Oct - Dec 2018)
|
|
21 Feb 2019
|
SFC Regulatory Bulletin: Listed Corporations (Feb 2019)
|
|
25 Jan 2019
|
A Review of the Global and Local Securities Markets in 2018 (Featuring Stock Connect inflows, Closing Auction Session and the rise in index derivatives activities) - Research Paper No. 64
|
|
3 Jan 2019
|
Takeovers Bulletin (Dec 2018) |
|
19Dec 2018
|
Report on the review of internal controls for the protection of client assets and supervision of account executives |
|
7 Dec 2018
|
Quarterly Report (Jul - Sep 2018)
|
|
22 Nov 2018
|
SFC Compliance Bulletin: Intermediaries(Nov 2018) |
|
2 Oct 2018
|
Takeovers Bulletin (Sep 2018) |
|
21 Sep 2018
|
Strategic Framework for Green Finance (English version only) |
|
17 Aug 2018
|
Report on Review of Securities Margin Financing Activities |
|
14 Aug 2018
|
Quarterly Report (Apr - Jun 2018)
|
|
27 Jul 2018
|
Half-yearly Review of the Global and Local Securities Markets (Featuring VIX Exchange-traded Products, MSCI A-share Inclusion and After-Hours Futures Trading) - Research Paper No. 63
|
|
20 Jul 2018
|
Asset and Wealth Management Activities Survey 2017 |
|
13 Jul 2018
|
Takeovers Bulletin(Jun 2018) |
|
27 Jun 2018
|
Annual Report 2017-18 |
|
23 May 2018
|
SFC Regulatory Bulletin: Listed Corporations (May 2018) |
|
16 May 2018
|
SFC Compliance Bulletin: Intermediaries(May 2018) |
|
9 Apr 2018
|
Report on the Thematic Review of Alternative Liquidity Pools in Hong Kong (Apr 2018) |
|
28 Mar 2018
|
Takeovers Bulletin(Mar 2018)
|
|
26 Mar 2018
|
Report on Thematic Review of Licensed Corporations Engaged in Sponsor Business (Mar 2018)
|
|
26 Feb 2018
|
Enforcement Reporter (Feb 2018)
|
|
23 Feb 2018
|
Quarterly Report (Oct -Dec 2017)
|
|
26 Jan 2018
|
A Review of the Global and Local Securities Markets in 2017 (Featuring Stock Connect Trading and the Expansion of the Short Position Reporting (SPR) Regime) - Research Paper No. 62
|
|
19 Jan 2018
|
Takeovers Bulletin (Jan 2018 supplemental issue) |
|
29 Dec 2017
|
Takeovers Bulletin (Dec 2017) |
|
19 Dec 2017
|
SFC Compliance Bulletin: Intermediaries (Dec 2017) |
|
6 Dec 2017
|
Quarterly Report (Jul -Sep 2017) |
|
28 Sep 2017
|
Takeovers Bulletin (Sep 2017) |
|
25 Sep 2017
|
Financial Review of the Securities Industry for the year ended 30 June 2017 |
|
29 Aug 2017
|
Quarterly Report (Apr -Jun 2017) |
|
28Jul 2017
|
Half-yearly Review of the Global and Local Securities Markets - Research Paper No. 61 |
|
19Jul 2017
|
Fund Management Activities Survey 2016 |
|
13 Jul 2017
|
SFC Regulatory Bulletin: Listed Corporations
|
|
30Jun 2017
|
Takeovers Bulletin (Jun 2017) |
|
14Jun 2017
|
Annual Report 2016-17 |
|
24May 2017
|
Enforcement Reporter (May 2017)
|
|
28Apr 2017
|
Report on the fact-finding exercise on retail futures brokers |
|
31 Mar 2017
|
Takeovers Bulletin (Mar 2017) |
|
31 Mar 2017
|
Financial Review of the Securities Industry for the year ended 31December 2016 |
|
10 Feb 2017
|
Quarterly Report (Oct - Dec 2016)
|
|
20Jan 2017
|
A Review of the Global and Local Securities Markets in 2016 – Research Paper No.60 |
|
29Dec 2016
|
Takeovers Bulletin (Dec 2016) |
|
14 Dec 2016
|
Corporate Regulation Newsletter |
|
8Dec 2016
|
Enforcement Reporter (Dec 2016)
|
|
8 Dec 2016
|
Quarterly Report (Jul - Sep2016)
|
|
5Oct 2016
|
Financial Review of the Securities Industry for the half year ended 30June 2016
|
|
15 Sep 2016
|
Takeovers Bulletin (Sep 2016) |
|
15Aug 2016
|
Quarterly Report (Apr -Jun 2016)
|
|
22 Jul 2016
|
Fund Management Activities Survey 2015 |
|
15Jul 2016
|
Half-yearly Review of the Global and Local Securities Markets - Research Paper No. 59 |
|
4Jul 2016
|
Takeovers Bulletin (Jun 2016) |
|
24Jun 2016
|
Report on the Securities and Futures Commission's 2015 annual review of the Exchange's performance in its regulation of listing matters |
|
22 Jun 2016
|
Annual Report 2015-16 |
|
31 Mar 2016
|
Financial Review of the Securities Industry for the year ended 31December 2015 |
|
31Mar 2016
|
Takeovers Bulletin (Mar 2016) |
|
3Mar 2016
|
Corporate Regulation Newsletter |
|
18Feb 2016
|
Quarterly Report (Oct -Dec 2015)
|
|
22Jan 2016
|
A Review of the Global and Local Securities Markets in 2015 - Research Paper No. 58 |
|
30 Dec 2015
|
Takeovers Bulletin (Dec 2015) |
|
7Dec 2015
|
Quarterly Report (Jul -Sep 2015)
|
|
30Sep 2015
|
Takeovers Bulletin (Sep 2015) |
|
18 Sep 2015
|
Financial Review of the Securities Industry for the half year ended 30June 2015
|
|
17 Aug 2015
|
Quarterly Report (Apr - Jun 2015)
|
|
21Jul 2015
|
Fund Management Activities Survey 2014
|
|
17Jul 2015
|
Half Yearly Review of the Global and Local Securities Markets - Research Paper No. 57 |
|
29Jun 2015
|
Takeovers Bulletin (Jun 2015) |
|
17Jun 2015
|
Annual Report 2014-15
|
|
29 Apr 2015
|
Corporate Regulation Newsletter |
|
31 Mar 2015
|
Takeovers Bulletin (Mar 2015) |
|
30Mar 2015
|
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers (Mar 2015)
|
|
20 Mar 2015
|
Financial Review of the Securities Industry for the year ended 31 December 2014
|
|
17Feb 2015
|
Quarterly Report (Oct -Dec 2014)
|
|
21Jan 2015
|
Risk-focused Industry Meeting Series: Asset Management: Looking Forward |
|
16Jan 2015
|
A Review of the Global and Local Securities Markets in 2014 - Research Paper No. 56 |
|
30 Dec 2014
|
Takeovers Bulletin (Dec 2014) |
|
18Dec 2014
|
Mystery Shopping Programme Findings
|
|
15Dec 2014
|
Quarterly Report (Jul -Sep 2014)
|
|
30 Sep 2014
|
Takeovers Bulletin (Sep 2014) |
|
19Sep 2014
|
Financial Review of the Securities Industry for the half year ended 30 June 2014 |
|
19Sep 2014
|
SFC publishes annual review of SEHK’s performance in regulating listing matters |
|
20 Aug 2014
|
Quarterly Report (Apr - Jun 2014)
|
|
18Jul 2014
|
Half Yearly Review of the Global and Local Securities Markets - Research Paper No. 55 |
|
9 Jul 2014
|
Corporate Regulation Newsletter
|
|
8 Jul 2014
|
Fund Management Activities Survey 2013
|
|
2Jul 2014
|
Takeovers Bulletin (Jun 2014 supplemental issue)
|
|
25Jun 2014
|
Annual Report 2013 - 2014
|
|
24Jun 2014
|
Takeovers Bulletin (Jun 2014)
|
|
31Mar 2014
|
Takeovers Bulletin (Mar 2014)
|
|
20 Mar 2014
|
Financial Review of the Securities Industry for the year ended 31Dec 2013
|
|
27 Feb 2014
|
Quarterly Report (Oct - Dec 2013)
|
|
17 Jan 2014
|
A review of the global and local securities markets in 2013 - Research Paper No. 54 |
|
30 Dec 2013
|
Takeovers Bulletin (Dec 2013)
|
|
18 Dec 2013
|
Risk-focused Industry Meeting Series: G-SIFI Trends in Risk and Risk Mitigation |
|
2 Dec 2013
|
SFC publishes annual review of SEHK’s performance in regulating listing matters |
|
25July 2013
|
Fund Management Activities Survey 2012
|
