Other reports and surveys

Reports	Date
Report on the Adoption of Regtech for Anti-Money Laundering and Counter-Financing of Terrorism	Nov 2024
Report on the fact-finding exercises on ESG ratings and data products providers	Oct 2023
Report on the thematic review of risk management practices related to the operational and remote booking risks of trading activities and data risks	Mar 2023
Report on the review of licensed corporations providing online brokerage, distribution and advisory services	Aug 2022
Agenda for Green and Sustainable Finance	Aug 2022
Report on the SFC's review of global financial groups' foreign exchange activities in Hong Kong	Jan 2022
Report on Operational Resilience and Remote Working Arrangements	Oct 2021
Report on the 2019-20 thematic cybersecurity review of internet brokers	Sep 2020
Report on Leveraged Foreign Exchange Trading Activities Carried Out by Licensed Corporations	Apr 2020
Survey on Integrating Environmental, Social and Governance Factors and Climate Risks in Asset Management	Dec 2019
Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong	Jun 2019
Report on the review of internal controls for the protection of client assets and supervision of account executives	Dec 2018
Strategic Framework for Green Finance	Sep 2018
Report on Review of Securities Margin Financing Activities	Aug 2018
Report on the Thematic Review of Alternative Liquidity Pools in Hong Kong	Apr 2018
Report on the Thematic Review of Licensed Corporations Engaged in Sponsor Business	Mar 2018
Report on the Thematic Review of Best Execution	Jan 2018
Report on the fact-finding exercise on retail futures brokers	Apr2017
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers	Mar 2015
Mystery Shopping Programme Findings	Dec2014
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers	Mar 2013
Report on the Thematic Inspection of Selling Practices of Licensed Corporations	Oct 2012
Mystery Shopping Programme Findings	May 2011
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers	Mar 2011
Report on Sponsor Theme Inspection Findings	Mar 2011
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers	Sep 2009
Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers	May 2007
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers	Oct 2006
A Healthy Market for Informed Investors - A Report on the Derivative Warrants Market in Hong Kong	Nov 2005
Report on Selling Practices of Licensed Investment Advisers	Feb 2005
Report on Errors in Newspaper Announcements of Allotment Results of the Initial Public Offering of Shares in China Life Insurance Company Limited	Apr 2004
Report of theSecurities Review Committee - The Operation and Regulation of the Hong Kong Securities Industry	May 1988

Last update: 4 Nov 2024