One-off reports

Reports	Date
Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong(PDF)	Jun 2019
Report on the review of internal controls for the protection of client assets and supervision of account executives(PDF)	Dec 2018
Strategic Framework for Green Finance(English version only) (PDF)	Sep 2018
Report on Review of Securities Margin Financing Activities(PDF)	Aug 2018
Report on the Thematic Review of Alternative Liquidity Pools in Hong Kong(PDF)	Apr 2018
Report on the Thematic Review of Licensed Corporations Engaged in Sponsor Business(PDF)	Mar 2018
Report on the Thematic Review of Best Execution(PDF)	Jan 2018
Report on the fact-finding exercise on retail futures brokers(PDF)	Apr2017
Mystery Shopping Programme Findings(PDF)	Dec2014
Report on the Thematic Inspection of Selling Practices of Licensed Corporations(PDF)	Oct 2012
Mystery Shopping Programme Findings(PDF)	May 2011
Report on Sponsor Theme Inspection Findings(PDF)	Mar 2011
Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers(PDF)	May 2007
A Healthy Market for Informed Investors - A Report on the Derivative Warrants Market in Hong Kong(PDF)	Nov 2005
Report on Selling Practices of Licensed Investment Advisers(PDF)	Feb 2005
Report on Errors in Newspaper Announcements of Allotment Results of the Initial Public Offering of Shares in China Life Insurance Company Limited(PDF)	Apr 2004
Report of the Audit Committee of the SFC on its Investigation into Certain Allegations Concerning the Commission Contained in a Series of Anonymous Documents Circulated in the Community During the Period from July 2002 to January 2003 (Adopted by the Commission on 26 February 2003)(PDF)	Feb 2003
Report of Inquiry Dealings in HSBC Holdings Plc Shares 29 and 30 October 1997	Aug 1998
Report on an Investigation into Possible Contraventions of Securities (Insider Dealing) Ordinance and Securities (Disclosure of Interests) Ordinance in relation to the Trading of Shares in Crownhampton International Limited	Feb 1998
Offshore Trading of Hong Kong Stocks : Migration of Trading as a Growing Pie?(PDF)	May 1997
Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Registered Persons by Registered Firms(PDF)	Mar 1995
Report of a Working Group: Offers of Securities and Other Investments(PDF)	Dec 1991
Report of the Securities Review Committee - The Operation and Regulation of the Hong Kong Securities Industry(PDF)	May 1988

Last update: 7 Aug 2012