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Publications and statistics
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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
- Reports of the survey on hedge fund activities of SFC-licensed managers/advisers
Hedge fund activities of SFC-licensed managers/advisers
| Date | Publication |
|---|---|
|
Mar 2015 |
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers |
|
Mar 2013 |
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers |
|
Mar 2011 |
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers |
|
Sept 2009 |
|
|
Oct 2006 |
Last update: 30 Mar 2015