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4. Supervision
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5. Publications and statistics
   • Financial review of the securities industry
   • Other publications
     • Guidelines for Securities Margin Financing Activities – Training video
   • Reports on findings of thematic inspection/review
     • Report on the thematic review of risk management practices related to the operational and remote booking risks of trading activities and data risks
     • Report on the 2019-20 thematic cybersecurity review of internet brokers
     • Report on the SFC review of global financial groups foreign exchange activities in Hong Kong
     • Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong
     • Report on Review of Securities Margin Financing Activities
     • Report on the Thematic Review of Alternative Liquidity Pools in Hong Kong
     • Report on the Thematic Review of Licensed Corporations Engaged in Sponsor Business
     • Report on the Thematic Review of Best Execution
     • Report on fact-finding exercise on retail futures brokers
     • Second Mystery Shopping Programme Findings
     • Report on the Thematic Inspection of Selling Practices of Licensed Corporations
     • Mystery Shopping Programme Findings
     • Report on Sponsor Theme Inspection Findings
     • Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers
     • Report on Selling Practices of Licensed Investment Advisers
   • Reports of the survey on hedge fund activities of SFC-licensed managers/advisers

Through issuing topical publications and market statistics, we aim to keep the industry informed of the latest regulatory developments and compliance concerns.

Below are three publications resulting from our supervisory work. Just click the title of each publication to view the latest and past issues:

› Financial review of the securities industry

We conduct regular financial reviews of the Hong Kong securities industry. The objectives are to provide key statistical information on securities dealers and securities margin financiers and to give an overview of stock exchange participants' financial performance.

› Reports on findings of thematic inspection/review

We issue reports on findings of and regulatory concerns noted during thematic inspections of licensed corporations.

› Reports of the survey on hedge fund activities of SFC-licensed managers/advisers

We give updates on the hedge fund industry in Hong Kong.

› Other publications

Last update: 31 Mar 2020